Nex Systems
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Jeffery Allen Fanning

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

    04/02/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffery Allen Fanning, CRD No. 1566859 Respondent. Disciplinary Proceeding No. 2015043246401 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 2, 2018 INTRODUCTION Disciplinary Proceeding No. 2015043246401 was filed on December 12, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    Reference 2015043246401data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT Nos. 20070119207, 20090180095 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffery Allen Fanning, Respondent General Securities Representative General Securities Principal CRD No. 1566859 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit Ibis Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2007011920702finra.orgdata-portal.finra.org

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