Nex Systems
Type not stated

JEFFREY L. BACLET

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

    03/09/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant vs. Donner Corporation International (n/k/a National Capital Securities, Inc.), Irvine, CA, Jeffrey L. Baclet, Reno, NV, Vincent M. Uberti, Fountain Valley, CA, Paul A. Runyon, Lake Forest, CA, Respondents. DECISION Complaint No. CAF020048 Dated: March 9, 2006 Member firm and registered representatives issued misleading and fraudulent research reports that were available to the public via the Internet. Firm

    Reference CAF20020048data-portal.finra.orgfinra.org

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