Nex Systems
Person

NICHOLAS JOHN POLITO, JR

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

    09/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110297041 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nicholas J. Polito, Jr. ("Polito"), Respondent CRD No. 2287074 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Nicholas J. Polito, Jr. ("Polito" or "Respondent) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2011029704101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2287074

Other names2

Also known as2

PolitoNicholas J. Polito Jr.

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