Nex Systems
Type not stated

CHRISTOPHER ROBERT RANNI

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

    03/09/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER ROBERT RANNI (CRD No. 1698428), Respondent. Disciplinary Proceeding No.20080117243 Hearing Officer - LOM AMENDED HEARING PANEL DECISION March 9, 2012 As Chief Compliance Officer of his Firm, over a six-month period Respondent: (i) failed to establish and maintain adequate written supervisory procedures in violation of NASD Rules 3010 and 2110 (First Cause); (ii) failed to enforce

    Reference 2008011724301data-portal.finra.orgfinra.org

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