Nex Systems
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John Steven Mullaly

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

    11/12/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060554601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: John Steven Mullaly, Respondent General Securities Representative CRD No. 2679121 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent John Steven Mullaly submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2018060554601data-portal.finra.orgfinra.org

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