Nex Systems
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JEFFREY L. RITTBERGER

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

    11/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036874902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jeffrey L. Rittberger, Respondent Former Registered Representative CRD No. 5882038 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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

    Reference 2013036874902finra.orgdata-portal.finra.org

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