Nex Systems
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John B. Steffen

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

    03/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012035116901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John B. Steffen, Respondent Investment Company and Variable Contracts Products Representative [CRD No. 1338944] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John B. Steffen, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2012035116901finra.orgdata-portal.finra.org

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