Nex Systems
Person

MARCUS KALMAN NAGEL

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

    01/10/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MARCUS KALMAN NAGEL (CRD No. 2170816) Respondent. Disciplinary Proceeding No. C10040082 DEFAULT DECISION Hearing Officer-SW Dated: January 10, 2005 Respondent is barred from associating with any member firm in any capacity for: (i) violating NASD Conduct Rules 2330(a) and 2110 by improperly using a customer's funds; and (ii) violating NASD Conduct Rule 2110

    Reference C10040082data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2170816

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