Nex Systems
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ANTHONY G. MANAIA

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

    06/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Anthony G. Manaia (CRD No.1506665), Respondent. DISCIPLINARY PROCEEDING No. 2009018818101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Anthony G. Manaia ("Manaia") made intentional and negligent misrepresentations which were material, to approximately fifteen customers in connection with investments in private placements offered by Medical Capital Holdings, Inc. ("MedCap")

    06/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY G. MANAIA (CRD No. 1506665), Respondent. Disciplinary Proceeding No. 2009018818101 Hearing Officer - MC HEARING PANEL DECISION June 28, 2013 For making negligent misrepresentations and omissions of material fact, thereby engaging in conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of NASD Rule 2110 and FINRA Rule 2010, the

    Reference 2009018818101data-portal.finra.orgdata-portal.finra.orgfinra.org

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