Nex Systems
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JON RICHARD LINES

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

    06/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20060051583-08 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Phoenix Derivatives Group, LLC, Respondent Broker-Dealer CRD No. 25802 Marcos Moises Brodsky, Respondent CRD No. 3105944 Jon Richard Lines, Respondent CRD No. 2780390 Wesley Wang, Respondent CRD No. 2304216 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Phoenix Derivatives Group, LLC

    Reference 2006005158308data-portal.finra.orgfinra.org

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