Nex Systems
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FRANK P. GRASSO

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

    04/17/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. FRANK P. GRASSO (CRD No. 1047250), Respondent. Disciplinary Proceeding No. CLI050016 Hearing Officer - DMF HEARING PANEL DECISION April 17, 2006 Summary Respondent is suspended for nine months, fined $10,000 and ordered to requalify for listing false customer addresses on variable annuity applications, in violation of Rule 2110. Appearances Jon S. Batterman, Esq., and Jeff Kern, Esq. (Rory C. Flynn and Roger D. Hogoboom, Of Counsel)

    Reference CLI050016data-portal.finra.orgfinra.org

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