Nex Systems
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JEFFREY A. LEE

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

    12/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY A. LEE (CRD No. 2136374), Disciplinary Proceeding No. 2008014233601 Hearing Officer - MC DEFAULT DECISION December 13, 2010 Respondent. Respondent failed to amend his Form U4 to disclose material facts, and willfully failed to disclose material facts on his Form U4, in violation of NASD Conduct Rule 2110, IM-1000-1, and Article V, Section 2 of FINRA's By-Laws.

    Reference 2008014233601finra.orgdata-portal.finra.org

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