Nex Systems
Person

SHAURJA RAY

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

    09/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040437001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Shaurja Ray, Respondent General Securities Representative CRD No. 5394906. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Shaurja Ray ("Ray") submits 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

    Reference 2014040437001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5394906

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