Nex Systems
Person

DEAN ANTHONY ESPOSITO

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

    10/21/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEAN ANTHONY ESPOSITO (CRD No. 2303699), Respondent Disciplinary Proceeding No. CLI050015 Hearing Officer - SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 21, 2005 INTRODUCTION Disciplinary Proceeding No. CLI050015 was filed on June 6, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Dean Anthony Esposito ("Esposito" or "Respondent") submitted an Offer of Settlement ("Offer") to Complainant on October

    Reference CLI20050015data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2303699

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