Nex Systems
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JOHN D. KUHNS

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

    09/26/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.E112004010401 TO: Department of Enforcement NASD RE: Kuhns Brothers Securities Corporation, Respondent BD No. 47331 And John D. Kuhns, Respondent CRD No. 851444 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

    Reference E112004010401data-portal.finra.orgfinra.org

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