Nex Systems
Person

RICHARD JOSEPH STRATMAN

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

    07/27/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019569401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Richard Joseph Stratman (CRD No. 5302491) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Richard Joseph Stratman ("Stratman" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2009019569401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5302491

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