Nex Systems
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JOHN JOSEPH CONROY

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

    07/31/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003890601 TO: Department of Enforcement NASD RE: Kevin Patrick Brennan, Respondent General Securities Principal [CRD No. 3009014] John Joseph Conroy, Respondent General Securities Principal [CRD No. 3008995] Pursuant to Rule 9216 of NASD Code of Procedure, Kevin Patrick Brennan ("Brennan") and John Joseph Conroy ("Conroy") (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2006003890601data-portal.finra.orgfinra.org

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