Nex Systems
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CAROLE G. FERRARO

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

    07/21/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Carole G. Ferraro General Securities Representative [CRD No. 1174904], Respondent Disciplinary Proceeding No. C0505005 Hearing Officer: SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 21, 2006 INTRODUCTION Disciplinary Proceeding No. was filed on June 7, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Carole G. Ferraro submitted an Offer of Settlement ("Offer") to Complainant on June 30, 2006. Pursuant to

    06/07/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. Carole G. Ferraro, Respondent General Securities Representative [CRD No. 1174904] Respondent. Disciplinary Proceeding No. C05050005 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Carole G. Ferraro entered the securities industry on September 21, 1983, as a General Securities Representative of Herzog, Heine, Geduld, LLC, a member of NASD. Carole G. Ferraro, during all periods mentioned herein

    Reference C05050005data-portal.finra.orgdata-portal.finra.orgfinra.org

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