Nex Systems
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DONALD FAVATA

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

    04/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DONALD FAVATA (CRD No. 2668999), Respondent. Disciplinary Proceeding No.2011027116201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 17, 2012 Respondent is suspended for 90 days from associating with any FINRA-registered firm in any capacity and fined $5,000 for impersonating a former customer, in violation of FINRA Conduct Rule 2010. Appearances UnBo Chung, Esq., for the Department of

    Reference 2011027116201finra.orgdata-portal.finra.org

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