Nex Systems
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ANDREW SIRICO

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

    03/06/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW SIR1CO (CRD No. 1848034), Respondent. Disciplinary Proceeding No. ELI2003056602 Hearing Officer - Dana Pisanelli ORDER ACCEPTING OFFER OF SETTLEMENT DATE: March 6, 2006 INTRODUCTION Disciplinary Proceeding No. ELI2003056601 was filed on December 2, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Andrew Sirico ("Respondent") submitted an Offer of Settlement ("Offer") to Complainant on February 9, 2006

    Reference ELI2003056602data-portal.finra.orgfinra.org

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