Nex Systems
Person

GLENN NICHOLAS CARUSO

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

    12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150463964-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Glenn Nicholas Caruso, Respondent Former Municipal Securities Representative CRD No. 500224 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Glenn Nicholas Caruso ("Caruso" or "'Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2015046396401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number500224

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