Nex Systems
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FRANK P. QUATTRONE

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

    03/24/2006: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 53547 / March 24, 2006 Admin. Proc. File No. 3-11786 In the Matter of the Application of FRANK P. QUATTRONE c/o Jerome B. Falk, Esq. Howard, Rice, Nemerovski, Canady, Falk & Rabkin Three Embarcadero Center, 7th Floor San Francisco, CA 94111-4024 For Review of Disciplinary Action Taken By NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION -- REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Provide

    Reference CAF030008data-portal.finra.orgfinra.org

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