Nex Systems
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Jonathan Jasper Norton

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

    04/19/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022074961801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Johnathan Jasper Norton (Respondent) Investment Company and Variable Contracts Products Representative; Investment Company Products/Variable Contracts Principal CRD No. 4662779 Pursuant to FINRA Rule 9216, Respondent Johnathan Jasper Norton (Norton) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2022074961801data-portal.finra.orgfinra.org

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