Nex Systems
Person

MICHAEL DAVID PONTES

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

    10/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032930401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael David Pontes, Respondent General Securities Representative CRD No. 5577555 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2012032930401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5577555

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