Nex Systems
Type not stated

III

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

    12/16/2009: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. John B. Busacca, III Orlando, FL, Respondent. DECISION Complaint No. E072005017201 Dated; December 16, 2009 Respondent failed to exercise reasonable supervision and permitted his firm to employ an unregistered chief compliance officer. Held, findings and sanctions affirmed. Appearances

    Reference E072005017201data-portal.finra.orgfinra.org

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