Nex Systems
Person

Thomas Stappas

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/13/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059326201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Thomas Stappas, Respondent CRD No. 855198 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Thomas Stappas ("Stappas") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059326201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number855198

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.