Nex Systems
Person

RODOLFO ALVAREZ

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

    08/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026804401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rodolfo Alvarez, Respondent Investment Company Products/Variable Contracts Representative CRD No. 4375595 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Rodolfo Alvarez (Alvarez or Respondent), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2011026804401finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4375595

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