Nex Systems
Person

CRISTOBAL L GARCIA

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

    11/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CRISTOBAL L. GARCIA (CRD No. 5467244), Respondent. Disciplinary Proceeding No. 2008016441101 Hearing Officer-Andrew H. Perkins DEFAULT DECISION November 5,2009 Respondent is barred from associating with any member firm in any capacity for falsifying customer account documents, in violation of Conduct Rule 2110, and falling

    Reference 2008016441101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5467244

Other names1

Also known as1

CRISTOBAL L. GARCIA

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