Nex Systems
Type not stated

JOHN G. 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

    08/25/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID LERNER ASSOCIATES, INC. B/D NO. 5397 SSH SECURITIES, INC. B/D NO. 43593 JOHN G. DEMPSEY, JR. CRD NO. 869304 AND DAVID LERNER CRD NO. 307120 Respondents. DISCIPLINARY PROCEEDING NO. CAF040070 HEARING OFFICER SARA NELSON BLOOM ORDER ACCEPTING OFFER OF SETTLEMENT AUGUST 25, 2005 Disciplinary Proceeding No. CAF-040070 was filed

    Reference CAF040070data-portal.finra.orgfinra.org

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