Nex Systems
Person

ADITI SRIVASTAVA

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

    04/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042804001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aditi Srivastava, Respondent CRD No. 6320333 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Aditi Srivastava ("Srivastava"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2014042804001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6320333

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