Nex Systems
Person

FRANK MAYOL

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

    06/02/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. FRANK MAYOL (CRD No. 4494246) Yonkers, NY 10704, Respondent. Disciplinary Proceeding No.C10040122 DEFAULT DECISION Hearing Officer - SW Dated: June 2, 2005 Respondent is barred from associating with any member firm in any capacity for violating NASD Conduct Rule 2110 and NASD Procedural Rule 8210 by failing to respond to requests for information issued by the

    Reference C10040122data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4494246

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