Nex Systems
Person

JOSEPH P. OROZCO

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

    11/30/2006: NASD Department of Enforcement, Complainant, v. Joseph P. Orozco, CRD No. 1019164 Respondent. Disciplinary Proceeding No. C02040045 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 30, 2006 INTRODUCTION Disciplinary Proceeding No. C02040045 was filed on November 23, 2004, by the Department of Enforcement of NASD ("Complainant"). Complainant filed an Amended Complaint on March 3, 2005. Respondent Joseph P. Orozco submitted an Offer of Settlement ("Offer") to Complainant on November 20,

    Reference C02040045data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1019164

Other names1

Also known as1

JOSEPH PETER OROZCO

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