Nex Systems
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CHRISTOPHER P. CATALDO

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

    07/13/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006843901 TO: Department of Enforcement NASD RE: Christopher P. Cataldo, Respondent Limited Representative - Investment Company and Variable Contracts Products CRD No. 5121621 Pursuant to Rule 9216 of NASD Code of Procedure, Christopher P. Cataldo ("Cataldo") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the

    Reference 2006006843901data-portal.finra.orgfinra.org

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