Nex Systems
Type not stated

Andrew S. Mogol

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/08/2026: Between May 2023 and May 2024, Mogol initiated through his firm brokerage account 30 electronic transfers totaling approximately $85,000 to transfer money from his personal bank account to his firm brokerage account knowing that his bank account lacked sufficient funds to cover the transfers. He used the funds credited to his brokerage account before the transfers were reversed due to insufficient funds. By virtue of this conduct, Mogol violated FINRA Rule 2010. Mogol is suspended for six months and fined $5,000.

    Reference 2024082614901finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.