Nex Systems
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VINCENT BENTIVEGNA

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

    12/29/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080149364 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Vincent D. Bentivegna, Respondent General Securities Representative CRD No. 3106501 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

    Reference 2008014936401data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 2013036147301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Vincent Bentivegna, Respondent General Securities Representative CRD No. 3106501 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Vincent Bentivegna ("Respondent" or "Bentivegna") submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a

    Reference 2013036147301finra.orgdata-portal.finra.org

Other names1

Also known as1

VINCENT D. BENTIVEGNA

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