Nex Systems
Person

Noel Carino

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

    11/30/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057737501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Noel Carino, Respondent General Securities Representative CRD No. 3159932 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Noel Carino ("Carino" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2018057737501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3159932

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