Nex Systems
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David J. Taddeo

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

    12/30/2025: From August 2020 through September 2020, while associated with a FINRA member, Taddeo participated in private securities transactions with three customers who invested a total of $255,000, without providing prior written notice to his firm. As a result, Taddeo violated FINRA Rules 3280 and 2010. Between November 2021 and March 2022, Taddeo settled the complaints of two customers who invested in the private securities transactions, without the knowledge or consent of his member firm. As a result, Taddeo violated FlNRA Rule 2010. For these violations, Taddeo is suspended in all capacities for four months and fined $7,500.

    Reference 2024081095602data-portal.finra.orgfinra.org

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