Nex Systems
Type not stated

JEFF NG

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFF NG (CRD No. 1234807), Respondent. Disciplinary Proceeding No. 2009019369302 Hearing Officer-Andrew H. Perkins AMENDED HEARING PANEL DECISION June 14, 2012 Respondent is suspended for two years from associating with any member firm in any capacity and fined $25,000 for failing to notify his employer firm in writing, that he had undisclosed outside brokerage accounts at two other member firms,

    04/24/2013: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Jeff Ng Stamford, CT, Respondent. DECISION Complaint No. 2009019369302 Dated: April 24, 2013 Respondent failed to notify his employer firm that he had undisclosed outside brokerage accounts at two other member firms, and he failed to notify those firms that he was associated with a FINRA member firm. Held, findings and sanctions affirmed. Appearances For the

    Reference 2009019369302data-portal.finra.orgdata-portal.finra.orgfinra.org

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