Nex Systems
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Frank Venturelli

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

    06/19/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052466303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Frank Venturelli, Respondent Former General Securities Representative CRD No. 6403468 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Frank Venturelli submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2017052466303finra.orgdata-portal.finra.org

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