Nex Systems
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John C. Fitzgerald

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

    05/04/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050811301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Gates Capital Corporation, Respondent Registered Broker-Dealer CRD No. 29582 John C. Fitzgerald, Respondent Former Registered Representative CRD No. 1529631 James D. Casey, Respondent Registered Principal CRD No. 500062 Youngwhi Kim, Respondent Registered Principal CRD No. 1394474 Pursuant to FINRA Rule 9216

    Reference 2016050811301data-portal.finra.orgfinra.org

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