Nex Systems
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John Ginsburg

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

    11/15/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068747501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Ginsburg (Respondent) General Securities Representative CRD No. 3022789 Pursuant to FINRA Rule 9216, Respondent John Ginsburg submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020068747501data-portal.finra.orgfinra.org

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