Nex Systems
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JOHN N. DUFFIN

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

    06/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038353002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John N. Duffin, Respondent General Securities Principal General Securities Representative CRD No. 2309815 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John N. Duffin ("Duffin'' or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2013038353002data-portal.finra.orgfinra.org

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