Nex Systems
Type not stated

JERRY ESKEL DEMPSEY JR.

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

    06/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039284001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE. Dempsey Lord Smith, LLC, Respondent FINRA Member Firm BD No.141238 Jerry Eskel Dempsey, Jr., Respondent General Securities Representative and Principal CRD No. 1869325 Pursuant to FlNRA Rule 9216 of FINRA's Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2014039284001data-portal.finra.orgfinra.org

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