Nex Systems
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John E. Pelletier

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

    10/01/2025: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. John E. Pelletier, Hartland, WI, Respondent. DECISION Complaint No. 2021071094401 Dated: October 1, 2025. Respondent executed unauthorized trades in his customer's account. Held, findings and sanctions affirmed.

    Reference 2021071094401data-portal.finra.orgfinra.org

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