Nex Systems
Type not stated

ANDREW D. CARAVA

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

    01/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew D. Carava, (CRD No. 4293048), Respondent. Disciplinary Proceeding No. 2010021822701 Complainant, Hearing Officer MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 22, 2013 Respondent. INTRODUCTION Disciplinary Proceeding No. 2010021822701 was filed on July 11,2012, by the Department of Enforcement of the Financial Industry Regula

    Reference 2010021822701data-portal.finra.orgfinra.org

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