Nex Systems
Type not stated

GREATER METROPOLITAN INVESTMENT SERVICES INC.

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

    05/18/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. GREATER METROPOLIAN INVESTMENT SERVICES, INC. (BD 17452) 350 MAIN STREET SUITE 9 BEDMINSTER, NJ 07921, JAMES THOMAS PATTEN (CRD 1143818) AND Respondents. DISCIPLINARY PROCEEDING No. 2005000245601 HEARING OFFICER: COMPLAINT On information and belief, the Department of Market Regulation alleges as follows: Summary 1. Respondents

    07/07/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. GREATER METROPOLITAN INVESTMENT SERVICES, INC. (BD 17452), JAMES THOMAS PATTEN (CRD 1143818), AND CHINTAMAN M. DALVI (CRD 1981088), RESPONDENTS. DISCIPLINARY PROCEEDING No. 2005000245601 HEARING OFFICER: HALL ORDER ACCEPTING OFFER OF SETTLEMENT FROM JAMES T. PATTEN AND GREATER METROPOLITAN INVESTEMENT SERVICES, INC. The Department of Market Regulation ("Complainant") filed a Complaint

    Reference 2005000245601data-portal.finra.orgdata-portal.finra.orgfinra.org

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