Nex Systems
Type not stated

DENNIS KAMINSKI

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

    08/18/2010: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Kevin L. Cohen Stuart, FL, Dennis S. Kaminski Wellington, FL, Gari C. Sanfilippo Wellington, FL, Respondents. DECISION Complaint No. EAF0400630001 Dated: August 18, 2010 Registered representatives created and maintained inaccurate books and records related to variable annuity trades, and registered principal failed reasonably to supervise the timely review of variable

    Reference EAF0400630001finra.orgdata-portal.finra.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.