Nex Systems
Type not stated

JEFFREY A. SMITH SR.

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

    03/22/2007: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2005002264701 TO: Department of Enforcement NASD RE: Jeffrey A. Smith Sr., Respondent Registered Representative CRD No. 4360471 Pursuant lo Rule 9216 of the NASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me

    Reference 2005002264701data-portal.finra.orgfinra.org

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