Nex Systems
Type not stated

ANDREW W. QUINN

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

    03/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW W. QUINN (CRD No. 4092270), Respondent. Disciplinary Proceeding No. 2005003295801 Hearing Officer - Sara Nelson Bloom AMENDED EXTENDED HEARING PANEL DECISION March 19, 2009 Respondent is barred from associating with any FINRA member in any capacity for sending unauthorized correspondence on firm letterhead that contained misleading and unwarranted statements and exposed his employer to

    Reference 2005003295801finra.orgdata-portal.finra.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.