Nex Systems
Type not stated

AMERIFINANCIAL

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

    03/09/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Amerifinancial, CRD No. 130623, Anthony Fareri, CRD No. 4716775, and Respondents. Disciplinary Proceeding No. E072004054601 Hearing Officer - SW ORDER ACCEPTING OFFERS OF SETTLEMENT Date: March 9, 2007. INTRODUCTION Disciplinary Proceeding No. E072004054601 was filed on September 15, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondents Amerifinancial and submitted an Offer of Settlement ("Offer") to Complainant

    Reference E072004054601data-portal.finra.orgfinra.org

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