Nex Systems
Type not stated

JONATHAN FENTON

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

    07/30/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. AURA FINANCIAL SERVICES, INC. [CRD No. 42822] AND TIMOTHY M. GAUTNEY, Equity Trader, Financial and Operations Principal, Municipal Securities Representative, Registered Operations Principal, General Securities Principal, and General Securities Representative [CRD No. 2552149] AND JONATHAN FENTON, General Securities Principal and General Securities Representative [CRD No. 2781807] AND

    12/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. AURA FINANCIAL SERVICES, INC. [CRD No. 42822] AND JONATHAN FENTON, General Securities Principal and General Securities Representative [CRD No. 2781807] AND RESPONDENTS. DISCIPLINARY PROCEEDING NO. E052005000702 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: Complaint 1. Respondent Aura Financial Services, Inc.

    Reference E052005000702data-portal.finra.orgdata-portal.finra.orgfinra.org

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