Nex Systems
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JEFFREY D. JONES

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

    12/01/2011: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Synergy Investment Group, LLC [CRD No. 46035], and Jeffrey D. Jones [CRD No. 4188324], and Thurman R. Crawford [CRD No. 56786] Respondents. Disciplinary Proceeding No. 2009018817101 Hearing Officer: RSH Date: December 1, 2011 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2009018817101 was filed on April 5, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    04/05/2011: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Synergy Investment Group, LLC [CRD No. 46035], and Jeffrey D. Jones [CRD No. 4188324], and Thurman R. Crawford [CRD No. 56786] Respondents. Disciplinary Proceeding No. 2009018817101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Synergy Investment Group, Inc., through its Director of Compliance and General Counsel Jeffrey D. Jones, failed to conduct reasonable due diligence regarding securities issued by Medical

    Reference 2009018817101data-portal.finra.orgdata-portal.finra.orgfinra.org

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