Nex Systems
Person

RICHARD RALPH MONTANARO

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025653802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Richard Ralph Montanaro, Respondent General Securities Principal CRD No. 5501638 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Richard Ralph Montanaro ("Montanaro"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2011025653802data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5501638

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.