Nex Systems
Person

Sanjeev Sreetharan

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

    05/24/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160498687-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sanjeev Sreetharan, Respondent General Securities Representative CRD No. 5939838 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Sanjeev Sreetharan ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2016049868701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5939838

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