Nex Systems
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JEFFREY S. TORRISON

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

    12/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jeffrey S. Torrison (CRD No. 1695663), Respondent. DISCIPLINARY PROCEEDING No. 2013038071201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jeffrey S. Torrison ("Torrison" or "Respondent") willfully failed to timely amend his Form U4 Uniform Application for Securities Industry Registration ("Form U4") to disclose a federal tax lien that was filed against him in June

    08/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Jeffrey S. Torrison (CRD No. 1695663), Respondent. Disciplinary Proceeding No. 2013038071201 Hearing Officer RS ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 30, 2016 INTRODUCTION Disciplinary Proceeding No. 2013038071201 was filed on December 17, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Jeffrey S. Torrison

    Reference 2013038071201data-portal.finra.orgfinra.orgdata-portal.finra.org

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