Nex Systems
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ANTHONY SPAGNOLO III

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

    05/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NATHALO MENENDEZ (CRD No. 4882003) and ANTHONY SPAGNOLO, III (CRD No. 4726651), Respondents. Disciplinary Proceeding No. 2009016159110 Hearing Officer-LOM HEARING PANEL DECISION AS TO SPAGNOLO and May 4, 2015 The charges against Respondent, Anthony Spagnolo, III, are dismissed. Enforcement did not establish by a preponderance of the evidence that he opened and traded

    Reference 2009016159110data-portal.finra.orgfinra.org

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