Nex Systems
Person

PHILIP D. ROSSI

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

    01/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PHILIP D. ROSSI (CRD No. 2001232), Respondent. Disciplinary Proceeding No. 2007010767201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION January 29, 2009 Respondent is barred from associating with any member firm in any capacity for failing to respond to requests for information issued by FINRA staff, in violation of Procedural Rule 8210 and Conduct Rule 2110; and for engaging in outside business

    Reference 2007010767201finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2001232

Other names1

Also known as1

PHILIP DONATO ROSSI

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