Nex Systems
Person

DOUGLAS ARTHUR SANZONE

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

    05/29/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045755510 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Douglas A. Sanzone, Respondent Former General Securities Principal CRD No. 1646194 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Douglas A. Sanzone (“Sanzone” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2015045755510finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number1646194

Other names1

Also known as1

Douglas A. Sanzone

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