Nex Systems
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JOHN B. HOFFMANN

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

    05/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. CE4050006 TO: Department of Enforcement NASD RE: John B. Hoffmann, Respondent, CRD No. 247933 Kevin J. McCaffrey, Respondent, CRD No. 1879348 Pursuant to Rule 9216 of NASD Code of Procedure, John Hoffmann and Kevin McCaffrey (together "Respondents") 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 condition that, if

    Reference CE4050006finra.orgdata-portal.finra.org

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