Nex Systems
Person

SHAWN PATRICK CASUCCIO

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/31/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SHAWN PATRICK CASUCCIO (CRD No. 4193661), Respondent. Disciplinary Proceeding No.d2008015240601 Hearing Officer - SNB DEFAULT DECISION March 31, 2010 For making material misrepresentations and omitting material facts to induce customers to purchase fictitious securities, in violation of Section 10(b) of the Securities Exchange

    Reference 2008015240601finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, vs. Shawn P. Casuccio (CRD No. 4193661), Respondent. DISCIPLINARY PROCEEDING No.: 2008015240601 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between 2005 and September 2008, Shawn P. Casuccio ("Casuccio") fraudulently induced six customers to invest approximately $723,000

    Reference 2008015240601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4193661

Other names1

Also known as1

SHAWN P. CASUCCIO

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