Nex Systems
Type not stated

August D. Wojtkiewicz

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

    05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. August D. Wojtkiewicz (CRD No. 6083270), Respondent. DISCIPLINARY PROCEEDING No. 2012034042001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent August D. Wojtkiewicz (“Wojtkiewicz") willfully made false statements concerning his criminal history on an application for registration. RESPONDENT AND JURISDICTION 2. On or about August 13, 2012, Wojtkiewicz filed an

    10/08/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. AUGUST D. WOJTKIEWICZ (CRD No. 6083270), Respondent. Disciplinary Proceeding No. 2012034042001 Hearing Officer - KBW DEFAULT DECISION October 8, 2014 Respondent is suspended from associating with any member firm in any capacity for one year and fined $10,000 for violating Article V, Section 2(a) of FINRA's By-Laws and FINRA Rules 1122 and 2010 by willfully

    Reference 2012034042001data-portal.finra.orgdata-portal.finra.orgfinra.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.