Nex Systems
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JEREMY L. WOOLCOT

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

    07/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jeremy L. Woolcott(CRD No. 2470706), Respondent. DISCIPLINARY PROCEEDING No. 2008013898101 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Jeremy L. Woolcott ("Woolcott") made two discretionary trades without written authorization to exercise discretion from the customer or

    Reference 2008013898101data-portal.finra.orgfinra.org

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