Nex Systems
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Christopher Kozak

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

    11/04/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053017201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christopher Kozak, Respondent Former General Securities Representative CRD No. 5530806 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Christopher Kozak, submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2017053017201data-portal.finra.orgfinra.org

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