Nex Systems
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JOHN B. CARTER

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

    12/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN B. CARTER (CRD No. 1216771), Respondent. Disciplinary Proceeding No. 2008012796701 Hearing Officer-Andrew H. Perkins DEFAULT DECISION December 1, 2009 Respondent is barred from associating with any member firm in any capacity for misusing investor funds, in violation of Conduct Rule 2110; and failing to respond to requests

    Reference 2008012796701data-portal.finra.orgfinra.org

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