Nex Systems
Type not stated

JOHN CHRISTOPHER 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

    07/13/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN CHRISTOPHER CORRERO (CRD No. 3179667), Respondent. Disciplinary Proceeding No. E102004083702 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION July 13, 2007 Respondent improperly obtained contingent deferred sales charge waivers for customers selling Class B mutual fund shares by falsely claiming that those customers were disabled. Respondent is suspended from associating with any NASD member in any capacity for one year,

    Reference E102004083702data-portal.finra.orgfinra.org

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