Nex Systems
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JOHN A. KOWSKE

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

    01/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN A. KOWSKE (CRD No. 1124297), Respondent. Disciplinary Proceeding No. 2011027363401 Hearing Officer - Lawrence B. Bernard DEFAULT DECISION Dated: January 15, 2014 Respondent is suspended for six months and fined $5,000 for willfully failing to update his Form U4 to disclose judgments and a tax lien, in violation of NASD Rule 2110, IM-1000-1, FINRA Rules 1122 and 2010 and FINRA By-Laws.

    Reference 2011027363401finra.orgdata-portal.finra.org

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