Nex Systems
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BEN JAMES RAATZ

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

    09/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Great Point Capital LLC (CRD No. 114203), Lawrence R. Kajmowicz (CRD No. 4637591), Ben James Raatz (CRD No. 4637287), and Michael Scott Olson (CRD No. 3021448), Respondents. Disciplinary Proceeding No. 20080148227-02 COMPLAINT The Department of Market Regulation ("Market Regulation") alleges: STATEMENT OF FACTS 1. Great Point Capital LLC, a FINRA member (CRD No. 114203), derives revenues

    01/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant v. LAWRENCE R. KAJMOWICZ (CRD No. 4637591), and BEN JAMES RAATZ (CRD No. 4637287), Respondents. Disciplinary Proceeding No. 20080148227-02 Hearing Officer-DRS ORDER GRANTTNG MOTION FOR WITHDRAWL OF AMENDED COMPLAINT WITH PREJUDICE On December 29, 2016, the Department of Market Regulation moved under FINRA Rule 9212(c) for leave to withdraw the Amended Complaint in this matter with prejudice. The

    Reference 2008014822702data-portal.finra.orgdata-portal.finra.orgfinra.org

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