ANDREW TZANIDES

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/29/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ANDREW TZANIDES, Registered Representative (CRD No. 1444656) Respondent. INTRODUCTION Disciplinary Proceeding No, C8A050016 was filed on March 10, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Andrew Tzanides ("Respondent Tzanides") submitted an Offer of Settlement ("Offer") to Complainant on July 27, 2005. Pursuant to Code of
03/10/2005: NASD ENFORCEMENT NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. WESTMINSTER FINANCIAL SECURITIES, INC. (CRD No. 20677) and ANDREW TZANIDES Registered Representative (CRD No. 1444656) and Respondents Disciplinary Proceeding No. C8A050016 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. During all
Reference C8A050016data-portal.finra.org data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/29/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. ANDREW TZANIDES, Registered Representative (CRD No. 1444656) Respondent. Disciplinary Proceeding No. E8B2003008008 Hearing Officer - Dana R. Pisanelli ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 29, 2005 INTRODUCTION Disciplinary Proceeding No. C8A050016 was filed on March 10, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Andrew Tzanides ("Respondent Tzanides") submitted an Offer of
Reference E8B2003008008data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1444656

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