Nex Systems
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Carl Cirillo

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

    04/20/2007: NASD OFFICE OF HEARING OFFICERS Deparbnent of Market Regulation, Complainant, v. Carl Cirillo (CRD No. 1321207) Respondent. Disciplinary Proceeding No. 20050000286-03 Hearing Officer David M. Fitzgerald ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 20050000286-03 was filed on October 20, 2006, by the Market Regulation Department of NASD ("Complainant"). Respondent Carl Cirillo submitted an Offer of Settlement ("Offer") to

    10/20/2006: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Carl Cirillo (CRD No. 1321207) Respondent. Disciplinary Proceeding No.: 20050000286-03 Hearing Officer: COMPLAINT Upon information and belief, Complainant, the Department of Market Regulation, alleges as follows: Summary 1. Carl Cirillo ("Cirillo"), while a registered representative of Delta Asset Management Co. ("Delta"), a member firm, employed

    Reference 2005000028603data-portal.finra.orgdata-portal.finra.orgfinra.org

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