Nex Systems
Person

DUANE MCKAY DEANE

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

    03/25/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DUANE McKAY DEANE (CRD No. 4924221), Respondent. Disciplinary Proceeding No. 2006007483801 Hearing Officer - AWH DEFAULT DECISION March 25, 2008 Respondent is barred from associating with any FINRA member in any capacity for misuse of a corporate credit card, in violation of NASD Rule 2110, and failing to respond to request for information, in violation of NASD Rules 8210 and

    Reference 2006007483801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4924221

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