Nex Systems
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Jeffrey L. Slothower

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

    11/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049080901 TO: Department Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jeffrey L. Slothower, Respondent Registered Representative CRD No. 3064787 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Jeffrey L. Slothower (“Slothower” or “Respondent”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of purpose of proposing a settlement

    Reference 2016049080901data-portal.finra.orgfinra.org

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