Nex Systems
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BARRY M. FERRARI

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/10/2015: FNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013749201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barry M. Ferrari, Respondent Former General Securities Principal [CRD No. 848024] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Barry M. Ferrari, (hereinafter, "Respondent") submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2008013749201finra.orgdata-portal.finra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035136401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barry M. Ferrari (CRD No. 848024) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Barry M. Ferrari ("Ferrari" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2013035136401data-portal.finra.orgfinra.org

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