Nex Systems
Person

ANTHONY P LE

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

    06/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Anthony P. Le, CRD No. 2887469, Respondent. Disciplinary Proceeding No. 2013039338501 Hearing Officer: KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 1, 2015 INTRODUCTION Disciplinary Proceeding No. 2013039338501 was filed on October 1, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Anthony P. Le submitted

    10/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Anthony P. Le (CRD No. 2887469), DISCIPLINARY PROCEEDING No. 2013039338501 Hearing Officer: Respondent. COMPLAINT The Department ofEnforcement alleges: SUMMARY 1. Between approximately March and November 2013, Respondent Anthony P. Le misused and converted a total of approximately $89,626 from his firm and from a fellow employee. Le converted the funds by improperly creating or falsifying

    Reference 2013039338501data-portal.finra.orgfinra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2887469

Other names1

Also known as1

ANTHONY P. LE

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