Nex Systems
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JOHN BABIARZ

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

    01/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN BABIARZ (CRD No. 3047247), Respondent. Disciplinary Proceeding No. 2009018486401 Hearing Officer - AWL DEFAULT DECISION January 9, 2013 Respondent is (1) fined $5,000 and suspended in all capacities for 30 business days for settling customer complaints without the knowledge of his firm, in violation of NASD Rule 2110 and FINRA Rule 2010; (2) fined $5,000 and suspended in all capacities for 30

    06/06/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN BABIARZ (CRD No. 3047247), Respondents. DISCIPLINARY PROCEEDING No. 2009018486401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2007 and 2008, while registered with FINRA through former member firm Jesup & Lamont Securities Corp (BD. No. 39056) ("J&L"), Respondent John Babiarz settled, or attempted to settle, two separate customer complaints without the knowledge or approval of

    Reference 2009018486401data-portal.finra.orgfinra.orgdata-portal.finra.org

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