Nex Systems
Type not stated

GIOVANNI FERRARA

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

    07/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Giovanni Ferrara, CRD No. 2862151, Respondent. Disciplinary Proceeding No.20090166407-01 Hearing Officer Matthew Campbell ORDER ACCEPTING OFFER OF SETTLEMENT Date: INTRODUCTION Disciplinary Proceeding No. 20090166407-01 was filed on May 16, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent Giovanni Ferrara ("Ferrara")

    Reference 2009016640701data-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.