Nex Systems
Type not stated

JEFFERY BOWMAN ELLIS

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

    04/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033802601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffery Bowman Ellis, Respondent General Securities Representative CRD No. 831554 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

    Reference 2012033802601data-portal.finra.orgfinra.org

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