Nex Systems
Person

VINCENT JOSEPH PUMA

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

    10/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024522101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Vincent Joseph Puma, Respondent General Securities Principal (CRD No. 2358356) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Vincent Joseph Puma ("Respondent" or "Puma") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2010024522101finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2358356

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