Nex Systems
Person

CONRAD TAMBALO BAUTISTA

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/14/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2O13035824101 TO: Department of Enforcement Financial Industry Regulatory Authoiaty ("FINRA") RE: Conrad Tambalo Bautista, Respondent Former General Securities Representative CRD No. 1582353 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Conrad Tambalo Bautista ("Bautista" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013035824101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1582353

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.