Nex Systems
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JIMMIE LEE GRIFFITH

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

    12/29/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Jimmie Lee Griffith Richmond, CA, Respondent. DECISION Complaint No. C01040025 Dated: December 29, 2006 Respondent effected two unauthorized trades in a customer account. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Leo Orenstein, Esq., Jacqueline D. Whelan, Esq., Department of Enforcement, NASD For the Respondent: Tania Rose, Esq. Decision Pursuant to NASD

    09/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JIMMIE LEE GRIFFITH (CRD No. 2321620), Respondent. Disciplinary Proceeding No. C01040025 Hearing Officer - DRP PANEL DECISION September 7, 2005 Respondent is fined $10,000 and suspended from association with any member firm in any capacity for three months for violating NASD Conduct Rule 2110 by effecting two unauthorized transactions in a customer account. Appearances For the Department of Enforcement: David A. Watson, Regional

    Reference C01040025data-portal.finra.orgdata-portal.finra.orgfinra.org

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