Nex Systems
Type not stated

John Thomas Financial Inc.

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/09/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN THOMAS FINANCIAL, INC. (CRD No. 40982), ANASTASIOS P. BELESIS (CRD No. 2707354), RONALD VINCENT CANTALUPO (CRD No. 3137208), JOSEPH LOUIS CASTELLANO (CRD No. 1158479), MICHELE ANN MISITI (CRD No. 1931272), and JOHN STEPHEN WARD (CRD No. 4118968), Respondents. Disciplinary Proceeding No. 20120334673-01 Hearing Officer-MC EXTENDED HEARING PANEL DECISION January 9, 2015

    Reference 2012033467301data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/15/2013:

    Reference 2011030636701data-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.