Nex Systems
Type not stated

ANTHONY JOSEPH SARRIS

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

    01/29/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY AMENDED LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011029690201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Anthony Joseph Sarris, Respondent Former Registered Representative CRD No. 2216746 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Anthony Joseph Sarris ("Sarris" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2011029690201data-portal.finra.orgfinra.org

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