Nex Systems
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ERNEST VIOLA

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

    11/08/2006: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Ernest Viola (CRD No. 2719728), Respondent. Disciplinary Proceeding No. 20042000053-02 Hearing Officer: AWH ORDER ACCEPTING OFFER OF SETTLEMENT OF ERNEST VIOLA Date: November 8, 2006 Disciplinary proceeding number 20042000053-02 was filed on April 10, 2006 by the Department of Market Regulation of NASD ("Complainant"). On September 5,2006, Complainant

    Reference 2004200005302finra.orgdata-portal.finra.org

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