Nex Systems
Type not stated

DION R. PADILLA

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

    02/07/2017: FlNANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARTNG OFFICERS Department of Enforcement, Complainant, v. Dion R. Padilla (CRD No. 4432230), Respondent. DISCIPLINARY PROCEEDING No. 2014040362001 Hearing Officer: MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 7, 2017 INTRODUCTION Disciplinary Proceeding No. 2014040362001 was filed on June 9, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Dion R. Padilla

    06/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Dion R. Padilla (CRD No. 4432230), Respondent. DISCIPLINARY PROCEEDING No. 2014040362001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Dion R. Padilla ("Padilla" or ''Respondent") effected an unauthorized purchase of a variable annuity for a firm customer and concealed this information from the customer for over nine months through repeated misrepresentations

    Reference 2014040362001data-portal.finra.orgfinra.orgdata-portal.finra.org

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