Nex Systems
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Alfonse Joseph Stazzone

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

    08/16/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060806601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alfonse Joseph Stazzone (Respondent) Corporate Securities Representative CRD No. 4908107 Pursuant to FINRA Rule 9216, Respondent Alfonse Joseph Stazzone submits 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

    Reference 2018060806601data-portal.finra.orgfinra.org

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