Nex Systems
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JOHN D. AUDIFFEREN

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

    07/25/2008: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 58230 / My 25, 2008 Admin. Proc. File No. 3-12892 In the Matter of the Application of JOHN D. AUDIFFEREN c/o Norman B. Arnoff, Esq. Burkhart, Wexler & Hirschberg, LLP 585 Stewart Avenue, Suite 750 Garden City, NY 11530 For Review of Disciplinary Action Taken by FINRA OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Violations of Federal Reserve Board Regulations

    Reference C1020030095data-portal.finra.orgfinra.org

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