Nex Systems
Person

YAJAIRA SANTOS

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

    11/10/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015473301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Yajaira Santos, Respondent Non-Registered, Associated Person [CRD No. 4791361] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Yajaira Santos, 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

    Reference 2008015473301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4791361

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