Nex Systems
Person

JOHN ROSS COCOZZA

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

    06/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Ross Cocozza, CRD No. 2909926, Respondent. Disciplinary Proceeding No. 2009020390701 Hearing Officer - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 7, 2011 INTRODUCTION Disciplinary Proceeding No. 2009020390701 was filed on March 23, 2011, by the Department of Enforcement of the Financial Industry Regulatory

    Reference 2009020390701finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2909926

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.