Nex Systems
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John J. Gorman 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

    06/26/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John J. Gorman, IV (CRD No. 1070636), Respondent. Disciplinary Proceeding No. 2014040771903 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 26, 2017 INTRODUCTION Disciplinary Proceeding No. 2014040771903 was filed on January 20, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent John J. Gorman, IV

    01/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFF1CERS Department of Enforcement, Complainant, v. John J. Gorman, IV (CRD No. 1070636). Respondent. DISCIPLINARY PROCEEDING No. 2014040771903 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While registered with FINRA through a member firm, Respondent John J. Gorman, IV willfully failed to timely amend his Uniform Application for Securities Registration ("Form U4") to disclose a $781,402 federal tax lien filed against him on or about

    Reference 2014040771903data-portal.finra.orgfinra.orgdata-portal.finra.org

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