Nex Systems
Type not stated

Anthony Uzoma Ogbonna

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

    06/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. ANTHONY UZOMA OGBONNA (CRD No. 2771427), Respondent. Disciplinary Proceeding No. 2014040437703 Hearing Officer-MC DEFAULT DECISION Respondent is fined $10,000 and suspended from associating with any FINRA member firm in any capacity for one year for failure to timely respond to requests for information and failure to timely appear and provide sworn testimony. Respondent is also fined $5,

    02/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Anthony Uzoma Ogbonna (CRD No. 2771427), Respondent. DISCIPLINARY PROCEEDING No. 2014040437703 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2014, Anthony Uzoma Ogbonna "Ogbonna" or "Respondent") failed to timely respond to FINRA' s requests for information and documents made pursuant to FINRA Rule 8210 in violation of FINRA Rules 8210 and 2010. 2. Ogbonna only provided

    Reference 2014040437703data-portal.finra.orgdata-portal.finra.orgfinra.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.