Nex Systems
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John D. Sullivan

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

    10/02/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Disciplinary Proceeding No. 2020066257302 Department of Enforcement, Complainant, v. John D. Sullivan CRD No. 2926996, Respondent COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On nine occasions, Respondent John D. Sullivan failed to provide documents and information FINRA requested pursuant to FINRA Rule 8210. As a result, Sullivan violated FINRA Rules 8210 and 2010.

    Reference 2020066257302data-portal.finra.orgfinra.org

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