Nex Systems
Person

EMMANUEL CAHOT GALLARDO

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

    04/27/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EMMANUEL GALLARDO (CRD No. 1456616), Respondent. Disciplinary Proceeding No. 2006005194401 DEFAULT DECISION Hearing Officer - SNB April 27, 2007 For Respondent's failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity. In light of the bar, no further sanctions are imposed for Respondent's failure to amend his Form U4 to disclose a

    Reference 2006005194401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1456616

Other names1

Also known as1

EMMANUEL GALLARDO

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