Nex Systems
Person

ROBERT FINSTRA

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

    08/30/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. ROBERT FINSTRA, Associated Person (CRD No. 5127389), Disciplinary Proceeding No. 2006005704601 Hearing Officer: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 30, 2007 INTRODUCTION Disciplinary Proceeding No. 2006005704601 was filed on May 8, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") or ("Complainant"). Respondent Robert Finstra

    Reference 2006005704601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5127389

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