Nex Systems
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FRANK A. GUTTA

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

    09/13/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OP ACCEPTANCE, WAIVER AND CONSENT NO. 2009017447501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frank A. Gutta, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 1705545 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frank A. Gutta (hereinafter, "Gutta" or "Respondent"), submit this Letter of Acceptance

    Reference 2009017447501data-portal.finra.orgfinra.org

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