Nex Systems
Person

ALBERTO NEIRA

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

    12/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026089402 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alberto Neira, Respondent CRD No. 2658649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits 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 condition that, if accepted,

    Reference 2011026089402data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2658649

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