Nex Systems
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JAMES J. MARIANI

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

    05/02/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C10050025 TO: Department of Enforcement NASD RE: James J. Mariani, General Securities Representative (CRD No. 2932631) Respondent Pursuant to Rule 9216 of NASD Code of Procedure. James J. Mariani ("Mariani" or ''Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Pari 11 below. This AWC

    Reference C10050025data-portal.finra.orgfinra.org

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