Nex Systems
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DINO PAPPAS

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

    09/25/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044287601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dino Pappas, Respondent General Securities Representative CRD No. 3250113 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dino Pappas, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2015044287601data-portal.finra.orgfinra.org

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