Nex Systems
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GARI C. SANFILIPPO

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

    08/18/2010: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Kevin L. Cohen Stuart, FL, Dennis S. Kaminski Wellington, FL, Gari C. Sanfilippo Wellington, FL, Respondents. DECISION Complaint No. EAF0400630001 Dated: August 18, 2010 Registered representatives created and maintained inaccurate books and records related to variable annuity trades, and registered principal failed reasonably to supervise the timely review of variable

    12/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MUTUAL SERVICE CORPORATION (CRD No. 4806), DENNIS S. KAMINSKI (CRD No. 1013459), SUSAN COATES (CRD No. 1563043), MICHAEL POSTON (CRD No. 1863133), DENISE ROTH (CRD No. 2749209), GARI C. SANFILIPPO (CRD No. 4151931), KEVIN L. COHEN (CRD No. 4527236), and Respondents. Disciplinary Proceeding No. EAF0400630001 Hearing Officer -- Andrew H. Perkins EXTENDED HEARING PANEL DECISION December 16, 2008

    Reference EAF0400630001data-portal.finra.orgfinra.orgdata-portal.finra.org

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