Nex Systems
Person

MARTIN JOHN MALONEY

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

    10/03/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012031390201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Martin John Maloney, Respondent General Securities Representative CRD No. 2143764 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Martin John Maloney ("Maloney"), submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2012031390201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2143764

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