FINRA

Without admitting or denying the findings, Nekuza consented to the sanction and to the entry of findings that he converted member firm funds by obtaining approximately $20,846 in goods and services which were personal expenses he charged to his firm-issued credit card. The findings stated that, at the time that he incurred the charges, Nekuza knew that the personal expenses were not reimbursable under any firm policy. Also, while associated with another FINRA member firm, Nekuza falsely reported to the credit card company that his card had been fraudulently used by an individual other than himself to make the charges. In addition, Nekuza falsely stated to the first firm that each of the charges was fraudulent. The findings also stated that Nekuza submitted false written responses to FINRA about the credit card charges and provided false testimony to FINRA about the charges. In both Nekuza's written response and during his sworn testimony, Nekuza claimed that he did not make the charges and that he was not in possession of the firm-issued credit card at the time the charges were made. Nekuza's claims were false in that he did make the charges and in that he was in possession of the firm-issued credit card at the time the charges were made. Nekuza knew his claims to be false at the time he made them in his response letter to FINRA, and during his sworn testimony.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All capacities

indefinite

11/6/2020

U/U LIVESTOCK MV ETC MD CRIMINAL STATUTE 7-203

Dismissed

MOTOR VEH/UNLAWFUL TAKING MD CRIMINAL STATUTE 7-105

Dismissed

THEFT $500 PLUS VALUE MD CRIMINAL STATUS 7-104

Dismissed