Nex Systems
Person

JOSEPH SORBARA

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

    07/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Joseph Sorbara (CRD No. 1001403), Respondent. Disciplinary Proceeding No. 20070113664-03 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT July 26, 2011 INTRODUCTION Disciplinary Proceeding No. 20070113664-03 was filed on April 19,2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority ("FINRA" or "Complainant").

    Reference 2007011366403finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number1001403

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