Nex Systems
Type not stated

JOHN JOSEPH ARNOLD

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. John Joseph Arnold (CRD No. 2854371), Respondent DISCIPLINARY PROCEEDING No. 2013038333001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In August 2013, an imposter posing as KDL, a customer of Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch or the Firm), sent two emails to John Joseph Arnold (Arnold), a general securities representative associated

    07/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. JOHN JOSEPH ARNOLD (CRD No. 2854371), Respondent. Disciplinary Proceeding No. 2013038333001 Hearing Officer MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 28, 2016 INTRODUCTION Disciplinary Proceeding No. 2013038333001 was filed on October 8, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent John Joseph Arnold

    Reference 2013038333001data-portal.finra.orgdata-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.