Nex Systems
Type not stated

ALFRED FERONTI

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

    06/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002402101 TO: Department of Enforcement NASD RE: Al fred Feronti, Respondent General Securities Representative CRD No. 1013847 Pursuant to Rule 9216 of NASD Code of Procedure, I, Alfred Feronti, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future sanctions

    Reference 2005002402101data-portal.finra.orgfinra.org

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