Nex Systems
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JOHN THOMAS RINCON

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

    09/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038594301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Thomas Rincon, Respondent ("Rincon" or "Respondent") Limited Representative-Investment Banking CRD No. 5936880 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013038594301data-portal.finra.orgfinra.org

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