Nex Systems
Person

DOMENIC CARLO RUGGIERO

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

    07/29/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080157949 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Domenic Carlo Ruggiero, Respondent CRD No. 3011030 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Domenic Carlo Ruggiero ["Ruggiero" or "I"], submit 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 2008015794901finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number3011030

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