MICHAEL A. NEMCIK
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL A. NEMCIK (CRD No. 5405918), Respondent. Disciplinary Proceeding No. 2009017374501 Hearing Officer-LBB DEFAULT DECISION October 11, 2010 Respondent Michael A. Nemcik is barred for failure to provide information, in violation of FINRA Procedural Rule 8210 and Conduct Rule 2010. In light of the bar, no additional sanction is imposed for executing an unauthorized trade in a customer's account,
05/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael A. Nemcik (CRD No. 5405918), Respondent. DISCIPLINARY PROCEEDING No. 2009017374501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On February 12, 2009, while Respondent Michael A. Nemcik (hereinafter, "Respondent" or "Nemcik") was registered with FINRA as a General Securities Representative through an association with member firm Merrill Lynch, Pierce, Fenner & Smith
Reference 2009017374501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5405918 |
Other names1
Also known as1
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