Nex Systems
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John F. O'Brien

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

    02/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040087601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John F. O'Brien (CRD No. 2572066), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I John F. O'Brien ("O'Brien" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2014040087601data-portal.finra.orgfinra.org

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