Nex Systems
Type not stated

Christopher M. Chiampas

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

    01/16/2025: In May 2022, Chiampas willfully failed to disclose a customer complaint on his Uniform Application for Securities Industry Registration or Transfer (Form U4). In June 2022, he settled with the customer away from his firm. By willfully failing to disclose the complaint, Chiampas violated Article V, Section 2(c) of FINRA’s By-Laws and FINRA Rules 1122 and 2010. By settling the dispute without knowledge of his firm, he violated FINRA Rule 2010. He is suspended in all capacities for six months and fined $10,000.

    Reference 2022076201601data-portal.finra.orgfinra.org

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