Nex Systems
Type not stated

FRANK THOMAS DINEEN

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/10/2016: FINANCIAL INDUSTRY REGULATORY AIJTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046768601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frank Thomas Dineen, Respondent Investment Company Products/Variable Contracts Principal CRD No. 68309 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent Frank Thomas Dineen ("Dineen"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2015046768601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.