Nex Systems
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GURTERATH MANNI SINGH BUTTAR

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

    03/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MERCATOR ASSOCIATES, LLC (BD No.112903), FABRIZIO DAVID LENTINI (CRD No. 2392695), AND GURTERATH MANNI SINGH BUTTAR (CRD No. 4511978) RESPONDENTS. DISCIPLINARY PROCEEDING No. 2011025438601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2010 through at least January 2012 (''the Relevant Period"), Mercator Associates, LLC ("Mercator" or the "Firm"), acting through

    Reference 2011025438601data-portal.finra.orgfinra.org

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