Nex Systems
Person

Farid Morim

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

    09/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Farid Morim (CRD No. 5023477), Respondent. DISCIPLINARY PROCEEDING NO. 2015047528202 HEARING OFFICER: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. In 2016, Enforcement opened an investigation into Farid Morim’s (“Morim” or “Respondent”) potential conversion of customer assets and undisclosed outside business activities.

    01/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FARID MORIM (CRD No. 5023477), Respondent. Disciplinary Proceeding No. 2015047528202 Hearing Officer-MJD DEFAULT DECISION January 26, 2018 Respondent is barred from associating with any FINRA member firm in any capacity for failing to produce information and documents, in violation of FINRA Rules 8210 and 2010. For the Complainant: Andrew Kampel, Esq., Tiffany Buxton, Esq., and

    Reference 2015047528202data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5023477

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