Nex Systems
Type not stated

Adam Maggio

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

    12/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063821601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Adam Maggio (Respondent) General Securities Principal CRD No. 4177365 Pursuant to FINRA Rule 9216, Respondent Adam Maggio submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063821601data-portal.finra.orgfinra.org

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