Nex Systems
Person

STEVEN C. KIRSCH

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

    04/15/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. STEVEN C. KIRSCH (CRD No. 708676) Respondent. Disciplinary Proceeding No. CAF040025 HEARING PANEL DECISION Hearing Officer - SW Dated: April 15, 2005 Respondent was barred for (i) violating NASD Conduct Rule 2110 and Procedural Rule 8210 by testifying falsely at an NASD on-the-record interview, and (ii) violating NASD Conduct Rule 2110 by performing supervisory duties while subject to a 30-day supervisory suspension. In light of the

    Reference CAF20040025data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number708676

Other names1

Also known as1

STEVEN CHARLES KIRSCH

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