Nex Systems
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JEFFREY S. GERACI

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

    11/09/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeffrey S. Geraci (CRD No. 1839469), Respondent. DISCIPLINARY PROCEEDING No. 2010023044101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent, Jeffrey S. Geraci, recommended to a customer, who was not an accredited investor and did not otherwise have substantial net worth, that she purchase a high-risk, illiquid security without having reasonable grounds to

    01/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, JEFFREY S. GERACI (CRD No. 1839469), Respondent. Disciplinary Proceeding No. 2010023044101 Hearing Officer - MC HEARING PANEL DECISION January 18, 2013 Respondent Jeffrey S. Geraci made an unsuitable recommendation to a customer, in violation of NASD Conduct Rule 2310, NASD IM-2310-2, and FINRA Conduct Rule 2010. The Hearing Panel suspends Geraci for two business days

    Reference 2010023044101data-portal.finra.orgdata-portal.finra.orgfinra.org

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