Nex Systems
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Albert L. DeGaetano

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

    11/17/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061737101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Albert L. DeGaetano (Respondent) Former General Securities Representative CRD No. 2458569 Pursuant to FINRA Rule 9216, Respondent Albert L. DeGaetano submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061737101data-portal.finra.orgfinra.org

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