Nex Systems
Type not stated

ANDREW ANTHONY UCCELLI

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045019001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Andrew Anthony Uccelli, Respondent General Securities Representative CRD No. 2247842 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Andrew Anthony Uccelli (''Uccelli"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2015045019001data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.