Nex Systems
Type not stated

JEROME A. BORZELLO

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

    11/20/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E07040025 TO: Department of Enforcement NASD RE: American Wealth Management, Inc., Member (BD No. 41970) Jerome A. Borzello, General Securities Principal and Financial and Operations Principal (CRD No. 801913) Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the

    Reference E072004002501data-portal.finra.orgfinra.org

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