Nex Systems
Person

Vincent Santoro

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

    04/30/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018056843801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Vincent Santoro, Respondent Former Registered Representative CRD No. 3006826 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Vincent Santoro ("Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2018056843801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3006826

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