Nex Systems
Type not stated

JEFFREY S. HOLLINGSWORTH

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

    12/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026745201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey S. Hollingsworth, Respondent Investment Company / Variable Contracts Representative CRD No. 1496508 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2011026745201finra.orgdata-portal.finra.org

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