Nex Systems
Person

LUIS ARGUELLES

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. LUIS ARGUELLES (CRD No.4335211), Respondent. Disciplinary Proceeding No. 2009016608201 Hearing Officer --RSH DEFAULT DECISION April 6, 2010 For threatening and unethical conduct, in violation of IM-2110-5 and Conduct Rule 2110, and for failure to appear for testimony, in violation of Procedural Rule 8210 and Conduct Rule 2110, and for failure to appear for testimony, in violation of Procedural Rule

    Reference 2009016608201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4335211

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.