Nex Systems
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JOEL WILLIAM VICTORY IV

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

    06/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Joel William Victory, IV (CRD No. 5137138), Respondent. DISCIPLINARY PROCEEDING No. 2015045269001 HEARING OFFICER KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 27, 2016 INTRODUCTION Disciplinary Proceeding No. 2015045269001 was filed on April 28, 2016 by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"). Respondent Joel William Victory, IV

    04/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Joel William Victory, IV (CRD No. 5137138), Respondent. DISCIPLINARY PROCEEDING No. 2015045269001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Joel William Victory, IV willfully failed to timely disclose three felony charges and convictions on his Uniform Application for Securities Industry Registration or Transfer ("Form U4"). 2. Victory thereby violated: (i)

    Reference 2015045269001data-portal.finra.orgfinra.orgdata-portal.finra.org

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