Nex Systems
Type not stated

JOHN C. CORRERO

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

    08/12/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, DECISION Complainant, vs. John C. Correro Madison, MS, Respondent. Complaint No. E102004083702 Dated: August 12, 2008 Respondent caused member firm's books and records to contain inaccurate information about certain customers selling Class B and C mutual fund shares by entering sales charge waivers for those customers by erroneously representing that they were disabled.

    Reference E102004083702data-portal.finra.orgfinra.org

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