Nex Systems
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DOMINICK A. DEL DUCA

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

    07/17/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013749202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dominick A. Del Duca, Respondent General Securities Principal [CRD No. 2876397] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dominick A. Del Duca, (hereinafter, "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2008013749202data-portal.finra.orgfinra.org

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