Nex Systems
Type not stated

JOHN C. RUKENBROD

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025846903 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Financial America Securities, Inc., Respondent FINRA-Registered Firm CRD No. 5100 John C. Rukenbrod, Respondent Registered Principal CRD No. 407114 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Financial America Securities, Inc. (the "Firm" or "Financial America") and John C. Rukenbrod ("Rukenbrod" and

    Reference 2011025846903data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.