Nex Systems
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CHRISTOPHER SCOTT SWIECICKI

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

    07/10/2008: FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094403 TO: Department of Enforcement FINRA RE: Christopher Scott Swiecicki, Respondent CRD No. 5121489 Pursuant to Rule 9216 of NASD Code of Procedure, Christopher Scott Swiecicki ("Swiecicki") 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, NASD will not bring any future actions against

    Reference 2007009440301data-portal.finra.orgfinra.org

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