Nex Systems
Type not stated

JOHN JOSEPH BURNS

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

    10/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John Joseph Burns (CRD No. 726439), Respondent. DISCIPLINARY PROCEEDING No. 2011028715801 Hearing Officer – DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 23, 2013 INTRODUCTION Disciplinary Proceeding No. 2011028715801 was filed on July 22, 2013 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    Reference 2011028715801data-portal.finra.orgfinra.org

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