GREGG N NUSSBAUM

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. GREGG N. NUSSBAUM (CRD No. 2020751), Respondent. Disciplinary Proceeding No. 2013038444701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September 2011, Respondent Gregg N. Nussbaum, a proprietary trader for FINRA member First Integrity Capital Partners Corp., intentionally exceeded his trading authority. First Integrity authorized Nussbaum to engage in riskless principal
Reference 2013038444701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038444702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregg N. Nussbaum, Respondent Government Securities Representative CRD No. 2020751 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregg N. Nussbaum, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2013038444702data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2020751

Other names1

Also known as1

GREGG N. NUSSBAUM

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.