Nex Systems
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ANDREA M. RITCHIE

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

    10/18/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH A. PADILLA (CRD No. 2203872), and ANDREA M. RITCHIE, f/k/a ANDREA M. BRUNO, (CRD No. 5060501), Respondents. Disciplinary Proceeding No. 2006005786501 Hearing Officer - LBB HEARING PANEL DECISION October 18, 2010 Respondents Joseph A. Padilla and Andrea M. Ritchie violated NASD Conduct Rule 2110 by selling unregistered securities in violation of Section 5 of the Securities Act of 1933. For

    08/01/2012: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Joseph A. Padilla and Andrea M. Ritchie f/k/a Andrea M. Bruno Los Angeles, CA, Respondents. DECISION Complaint No. 2006005786501 Dated: August 1, 2012 Registered representatives sold unregistered securities without the benefit of an exemption. Held, findings affirmed and sanctions modified. Appearances For the Complainant: Helen G. Barnhill, Esq., and Leo F. Orenstein

    Reference 2006005786501data-portal.finra.orgfinra.orgdata-portal.finra.org

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