Nex Systems
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Donald P. McCarthy

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

    01/24/2025: On December 23. 2022. McCarthy improperly shared confidential information protected by the Bank Secrecy Act (BSA) and U.S. Department of the Treasury regulations implementing the BSA with an individual not authorized to view it. As a result of this conduct, McCarthy violated FINRA Rule 2010.

    Reference 2023077083201finra.orgdata-portal.finra.org

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