Nex Systems
Type not stated

DALE PARA

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

    12/13/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DALE PARA (CRD No. 1028917), Respondent. DISCIPLINARY PROCEEDING No. 2013037332701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This case involves a deceptive course of conduct in which the respondent, Dale Para ("Para"), over a three and one-half year period, repeatedly and intentionally misled former customers "CG" and his father, "WG," regarding

    Reference 2013037332701data-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.