Nex Systems
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DANTE J. DIFRANCESCO

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

    12/17/2010: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Dante J. DiFrancesco Croton, NY, Respondent. DECISION Complaint No. 2007009848801 Dated: December 17, 2010 Respondent misused confidential customer information that constituted nonpublic private information under Regulation S-P. Held, findings modified and sanctions affirmed. Appearances For the Complainant: Leo F. Orenstein, Esq., Robin W. Sardegna, Esq., and

    12/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANTE J. DiFRANCESCO (CRD No. 2482531), Respondent. Disciplinary Proceeding No. 2007009848801 Hearing Officer - MC HEARING PANEL DECISION December 1, 2009 Respondent is suspended from association with any FINRA member firm in any capacity for 10 business days, and is fined $10,000, for misusing confidential customer information in violation of Conduct Rule 2110. Appearances Robin W. Sardegna,

    Reference 2007009848801data-portal.finra.orgfinra.orgdata-portal.finra.org

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