NATHALO IAN MENENDEZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NATHALO MENENDEZ (CRD No. 4882003) and ANTHONY SPAGNOLO, III (CRD No. 4726651), Respondents. Disciplinary Proceeding No. 2009016159110 Hearing Officer-LOM HEARING PANEL DECISION AS TO SPAGNOLO and May 4, 2015 The charges against Respondent, Anthony Spagnolo, III, are dismissed. Enforcement did not establish by a preponderance of the evidence that he opened and traded
12/30/2013: FINANCIAL INDUSTRY REGULATORY AuTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. NATHALO MENENDEZ (CRD 4882003), XXXXXX XXXXXXXXX XXXX XXXXXXXXX BRIAN SANDERS (CRD 2743309), AND ANTHONY SPAGNOLO (4726651), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2009016159110 HEARING OFFICER- The Department of Enforcement alleges: SUMMARY 1. During the period 2007 through 2010, while employed as registered representatives at iTRADEdirect.com (''iTrade"), Respondents
Reference 2009016159110data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4882003 |
Other names1
Also known as1
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