Nex Systems
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JOHN DUNCAN MONTFORT

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

    01/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant v. John Duncan Montfort General Securities Representative CRD No. 832458 Respondent DISCIPLINARY PROCEEDING NO. 2008015172301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This matter involves a registered representative who exercised discretion in the accounts of two customers without receiving prior written

    04/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement Complainant v. John Duncan Montfort General Securities Representative CRD No. 832458 Respondent DISCIPLINARY PROCEEDING No. 2008015172301 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 4, 2011 INTRODUCTION Disciplinary Proceeding No. 2008015172301 was filed on January 4, 2011, by the Department of Enforcement

    Reference 2008015172301data-portal.finra.orgfinra.orgdata-portal.finra.org

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