Nex Systems
Type not stated

JAY SHELDON POTTER JR.

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018791001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jay Sheldon Potter, Jr., Respondent General Securities Principal CRD No. 1585351 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2009018791001finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2009018149301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jay Sheldon Potter, Jr. Respondent General Securities Representative and Limited Representative - Investment Banking. CRD No. 1585351 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the

    Reference 2009018149301finra.orgdata-portal.finra.org

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