Nex Systems
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Joan Ella Burgio

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

    11/15/2022: FINANClAL lNDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021072641301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE. Joan Ella Burgio (Respondent) Former General Securities Representative CRD No. 5397635 Pursuant to FINRA Rule 9216, Respondent Joan Ella Burgio submits 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 on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2021072641301data-portal.finra.orgfinra.org

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