NICHOLAS APODIAKOS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Nicholas Apodiakos (CRD No. 1595927) Respondent. Disciplinary Proceeding No. C11050002 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: On February 25, 1998, Respondent Nicholas Apodiakos ("Apodiakos") (CRD No. 1595927) first became registered with NASD as a General Securities Representative through a member firm.
06/20/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Nicholas Apodiakos (CRD No. 1595927) Respondent. Disciplinary Proceeding No. C11050002 Hearing Officer RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 20, 2005 INTRODUCTION Disciplinary Proceeding No. C11050002 was filed on March 2, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Nicholas Apodiakos ("Apodiakos")
Reference C11050002data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1595927 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.