Nex Systems
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DEANE J. PANTALEO

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

    11/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002203901 To: Department of Enforcement NASD Re: Deane J. Pantaleo Investment Company / Variable Contracts Representative (CRD No. 4336722) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Deane J. Pantaleo (Pantaleo), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

    Reference 2005002203901data-portal.finra.orgfinra.org

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