Nex Systems
Type not stated

JAMES M. PIETKIEWICZ

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

    12/19/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, vs. Gardnyr Michael Capital, Inc. (CRD No. 30520), Anthony A. Grey (CRD No. 709788), James M. Pietkiewicz (CRD No. 1317032), and Respondents. Disciplinary Proceeding No. 2009016034101 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 19,2012 INTRODUCTION Disciplinary Proceeding No. 2009016034101 was filed on December 2, 2011, by the Department of Enforcement of the

    Reference 2009016034101data-portal.finra.orgfinra.org

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