Nex Systems
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BENJAMIN RICCIARDI

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

    04/06/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080126960-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Benjamin Ricciardi (CRD No. 5061598) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Benjamin Ricciardi ("Ricciardi" or "Respondent") 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 submitted on the

    Reference 2008012696001finra.orgdata-portal.finra.org

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