Nex Systems
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JEFFREY KLINE

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

    02/23/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffrey Kline, CRD No. 3204373, Respondent. Disciplinary Proceeding No. 20050014075 01 Hearing Officer - David M. FitzGerald ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 23, 2006 INTRODUCTION Disciplinary Proceeding No. 20050014075 01 was filed on January 24, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Jeffrey Kline submitted an Offer of Settlement ("Offer") to Complainant on February 17, 2006.

    Reference 2005001407501data-portal.finra.orgfinra.org

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