Nex Systems
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Jeffrey Allen Fanning

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

    12/12/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffery Allen Fanning (CRD No. 1566859), Respondent. Disiplinary Proceeding No. 2015043246401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2014 and September 2015 (“the relevant period”) Respondent Jeffery Allen Fanning failed to reasonably supervise the equity trading

    Reference 2015043246401data-portal.finra.orgfinra.org

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