Nex Systems
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Charles Joseph Riccomini

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

    08/06/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2024081647102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Charles Joseph Riccomini (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 7427048 Pursuant to FINRA Rule 9216, Respondent Charles Joseph Riccomini 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2024081647102data-portal.finra.orgfinra.org

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