Nex Systems
Type not stated

ANTHONY WHITTIER

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

    11/14/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY WHITTER (CRD No. 2733252), Respondent. Disciplinary Proceeding No. C07050029 Hearing Officer-Andrew H. Perkins DEFAULT DECISION November 14, 2006 The Respondent failed to disclose material financial information concerning a speculative stock he recommended to three customers, and made unreasonable price predictions for the stock, all in violation of Section 10(b) of the Securities Exchange Act of 1934,

    Reference C07050029data-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.