Nex Systems
Type not stated

JEFFREY E. WILLARD

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

    05/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JEFFREY E. WILLARD (CRD No. 4399211), Respondent. Disciplinary Proceeding No. 20080145634-01 Hearing Officer - RSH DEFAULT DECISION May 11, 2011 For making misrepresentations to his FINRA-regulated firm, in violation of Rule 2110, the Respondent was suspended for two years and fined $60,656.47. Appearances John S. Han, Senior Regional Counsel, and Jacqueline D. Whelan, Regional Chief Counsel, San

    Reference 2008014563401data-portal.finra.orgfinra.org

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