Nex Systems
Person

MICHAEL A. NICOLOSI

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

    07/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL A. NICOLOSI (CRD No. 5430609), Respondent. Disciplinary Proceeding No. 2008012516401 Hearing Officer-RSH DEFAULT DECISION July 30, 2009 The Respondent violated Conduct Rule 2110 and IM-1000-1 by failing to disclose on his Form U4 that he had been charged with a felony. For this violation, the Respondent was barred from associating with any member firm in any capacity. Appearances Jeff Kern,

    Reference 2008012516401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5430609

Other names1

Also known as1

MICHAEL ANTHONY NICOLOSI

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