Nex Systems
Person

DAVID ANGELO MALTESE

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

    08/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20080125468-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: David Angelo Maltese, Respondent General Securities Representative CRD No. 2562471 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David Angelo Maltese ("Maltese," "Respondent" or "I") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2008012546801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2562471

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