Nex Systems
Person

MALLESWARA RAO TUTHIKA

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MALLESWARA RAO TUTHIKA (CRD No. 5131117), Respondent. Disciplinary Proceeding No. 2008014242401 Hearing Officer - LBB DEFAULT DECISION Dated: July 26, 2011 Respondent exercised discretion in customers' accounts without written customer authorization, and without approval of the account as discretionary by his firm,

    Reference 2008014242401data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    09/14/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Malleswara Tuthika CRD No. 5131117 Respondent. DISCIPLINARY PROCEEDING No. 2008014242401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period of approximately October 2007 to March 2008, Malleswara Tuthika engaged in discretionary trading in the accounts of three customers without written discretionary authority.

    Reference 2008014242401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5131117

Other names1

Also known as1

MALLESWARA TUTHIKA

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.