Nex Systems
Type not stated

CHARLES M. MATISI

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

    09/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033158601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles M. Matisi, Respondent General Securities Representative CRD No. 2650170 Pursuant to FINRA Rule 9216 ofFINRA's Code ofProcedure, I 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 submitted on the

    Reference 2012033158601data-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.