Nex Systems
Person

CARMEN R. CARO

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

    01/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CARMEN R. CARO (CRD No. 1949991) Respondent. Disciplinary Proceeding No. C07040066 DEFAULT DECISION Hearing Officer – SW Dated: January 7, 2005 Respondent is barred from associating with any member firm in any capacity for: (i) violating NASD Conduct Rules 2110 and 2330(a) by misusing customers' funds; and (ii) violating NASD Conduct Rule 2110 and NASD

    Reference C07040066data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1949991

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