Nex Systems
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Anthony Lodati

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

    05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Anthony Lodati (CRD No. 4877082), and Brookville Capital Partners, LLC (CRD No. 102380), Respondents. DISCIPLINARY PROCEEDING No. 2012030969801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Brookville Capital Partners, LLC ("Brookville" or "the Firm") and its President, Anthony Lodati ("Respondents"), defrauded customers in connection with the sale

    03/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ANTHONY LODATI (CRD No. 4877082), AND BROOKVILLE CAPITAL PARTNERS, LLC (CRD No. 102380), RESPONDENTS. Disciplinary Proceeding No. 2012030968601 Hearing Officer: DMF Date: March 12, 2015 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2012030968601 was filed on May 22, 2014, by the Department of Enforcement of the Financial

    Reference 2012030968601data-portal.finra.orgfinra.orgdata-portal.finra.org

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