Nex Systems
Person

JOSEPH MAHMUD

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

    03/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110285563 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA'") RE: Joseph Mahmud, Respondent CRD No. 5626765 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Joseph Mahmud ["Malimud" or "I"], submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2011028556301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5626765

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