Nex Systems
Type not stated

FABRIZIO DAVID LENTINI

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MERCATOR ASSOCIATES, LLC (BD No. 112903), AND FABRIZIO DAVID LENTINI (CRD NO. 2392695), RESPONDENTS. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 3,2007 through March 2,2010, Respondent Mercator Associates, LLC, acting through its Head Trader Fabrizio Lentini, improperly shared transaction-based commissions totaling approximately $4,277,740 (United States Dollars or USD)

    09/21/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, MERCATOR ASSOCIATES, LLC, CRD No. 112903, AND FABRIZIO DAVID LENTINI, CRD No. 2392695, RESPONDENTS. DISCIPLINARY PROCEEDING No. 2009016323802 HEARING OFFICER - LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 21, 2012 INTRODUCTION Disciplinary Proceeding No. 2009016323802 was filed on October 18, 2011 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2009016323802data-portal.finra.orgdata-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MERCATOR ASSOCIATES, LLC (BD No.112903), FABRIZIO DAVID LENTINI (CRD No. 2392695), AND GURTERATH MANNI SINGH BUTTAR (CRD No. 4511978) RESPONDENTS. DISCIPLINARY PROCEEDING No. 2011025438601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2010 through at least January 2012 (''the Relevant Period"), Mercator Associates, LLC ("Mercator" or the "Firm"), acting through

    10/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. MERCATOR ASSOCIATES, LLC (BD No.112903), AND FABRIZIO DAVID LENTINI (CRD No. 2392695), Respondents. Disciplinary Proceeding No. 2011025438601 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 16, 2015 INTRODUCTION Disciplinary Proceeding No. 2011025438601 was filed on March 20, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2011025438601data-portal.finra.orgfinra.orgdata-portal.finra.org

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