Nex Systems
Person

STUART J. SIEGEL

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Stuart J. Siegel (CRD No. 835515), Respondent DISCIPLINARY PROCEEDING No. 2012035272901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Stuart Siegel was employed as a registered representative at Morgan Stanley Smith Barney, LLC ("MSSB" or "the Firm") from June 1994 through December 2012. 2. While at MSSB, Siegel

    Reference 2012035272901data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Stuart Siegel CRD No. 835515, Respondent. Disciplinary Proceeding No. 2012035272901 Hearing Officer: CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 17, 2014 INTRODUCTION Disciplinary Proceeding No. 2012035272901 was filed on December 30, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Stuart Siegel submitted an Offer

    Reference 2012035272901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number835515

Other names2

Also known as2

STUART JAMES SIEGELStuart Siegel

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