Nex Systems
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COLIN P. COLLEA

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

    01/03/2006: \NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. COLIN P. COLLEA (CRD No. 1519299) Respondents. Disciplinary Proceeding No. C05050026 Hearing Officer - SNB DEFAULT DECISION January 3, 2006 Respondent is fined $25,000 and suspended for two years from associating with any NASD member in any capacity, for making misrepresentations of fact to customers in connection with offers and sales of brokered callable certificates of deposit, in violation of Rule 2110. Appearances Karen Whitaker

    05/20/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James A. Swanke CRD No. 2228901 Colin P. Collea CRD No. 1519299 Respondents. Disciplinary Proceeding No. C05050026 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: JURISDICTION 1. Respondent James A. Swanke ("Swanke") entered the securities industry in March 1992, when he associated with an NASD member firm. He

    Reference C05050026data-portal.finra.orgdata-portal.finra.orgfinra.org

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