Nex Systems
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ANDRE PODESSER ALIANCE

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

    04/30/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andre Podesser Aliance (CRD No. 5846053), Respondent. DISCIPLINARY PROCEEDING No. 2013037604801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about April 29, 2013, Andre Podesser Aliance ("Aliance"), at the time a registered representative at J.P.Morgan Securities LLC ("J.P.Morgan" or "the Firm") and an employee at the Firm's affiliated bank,

    09/11/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDRE PODESSER ALIANCE (CRD No. 5846053), Respondent. Disciplinary Proceeding No. 2013037604801 Hearing Officer – CC DEFAULT DECISION September 11, 2014 Respondent falsified a customer's signature card by cutting, copying, and affixing the customer's signature from a bank document onto the signature card without the customer's authorization, in violation of FINRA Rule 2010. For this

    Reference 2013037604801data-portal.finra.orgfinra.orgdata-portal.finra.org

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