Nex Systems
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JEFFREY E. RODGERS

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

    03/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jeffrey E. Rodgers (CRD No. 4965478), Respondent. Disciplinary Proceeding No. 2013036836801 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 24, 2016 INTRODUCTION Disciplinary Proceeding No. 2013036836801 was filed on September 28, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent, Jeffrey E. Rodgers

    09/28/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffrey E. Rodgers (CRD No. 4965478), Respondent. DISCIPLINARY PROCEEDING No. 2013036836801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about January 201 I through in or about December 2012, Respondent borrowed a total of $38,600 from two of his customers - AA and BU - who each held brokerage accounts with his FINRA-member broker-dealer employer. Respondent has

    Reference 2013036836801data-portal.finra.orgfinra.orgdata-portal.finra.org

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