Nex Systems
Person

ALISHA CHAHAL

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

    10/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044471002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA”) RE: Alisha Chahal, Respondent Formerly Associated Person, CRD No. 5919412 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alisha Chahal ("Chahal"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2015044471002data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5919412

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