Nex Systems
Type not stated

DAME CISSE

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

    03/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAME CISSE (CRD No. 5100016), Respondent. Disciplinary Proceeding No. 2009019297801 Hearing Officer-MAD HEARING PANEL DECISION April 2, 2012 I. Respondent is barred from associating with any FINRA member firm in any capacity for attempting to convert firm funds, in violation of FINRA Conduct Rule 2010. In addition, Respondent is ordered to pay the costs of this proceeding. Appearances Jeffrey

    04/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Dame Cisse (CRD No. 5100016), Respondent. DISCIPLINARY PROCEEDING No.2009019297801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On July 3, 2009, while associated with Capital Analysts, Inc. ("Capital Analysts" or the "Firm") as an Accountant, Dame Cisse ("Cisse" or the "Respondent") attempted to misappropriate funds totaling $4,828.10 from his member firm employer. Respondent and

    Reference 2009019297801data-portal.finra.orgdata-portal.finra.orgfinra.org

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