Nex Systems
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JOHN K. MARRONE

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

    05/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John K. Marrone (CRD No. 4625680), Respondent. DISCIPLINARY PROCEEDING No. 20090196577-02 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 20090196577-02 was filed on October 15, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent John K. Marrone submitted an Offer of Settlement

    Reference 2009019657702finra.orgdata-portal.finra.org

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