Nex Systems
Type not stated

JAMES MICHAEL PORRAZZO

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

    04/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. JAMES MICHAEL PORRAZZO (CRD No. 3032023), Respondent. Disciplinary Proceeding No.2007009436401 Hearing Officer - RSH DEFAULT DECISION April 19, 2010 Respondent violated Conduct Rules 3030 and 2110 by engaging in outside business activities without providing his firm written notice of his activities. For this violation, Respondent is suspended from associating with any member firm in any capacity for

    Reference 2007009436401data-portal.finra.orgfinra.org

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