Nex Systems
Person

KENNETH ANDREW MAUCHIN

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

    11/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kenneth Andrew Mauchin (CRD No. 2366345), Respondent. DISCIPLINARY PROCEEDING No. 2011028452701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between June 2009 and April 2010 ("the relevant time period"), Respondent Kenneth Andrew Mauchin ("Respondent") misappropriated $23,750 from the securities accounts

    Reference 2011028452701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2366345

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