Nex Systems
Person

ZENAIDA R. 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

    11/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ZENAIDA R. GARCIA (CRD No. 5429943), Respondent. Disciplinary Proceeding No.2007010993901 Hearing Officer -AWH DEFAULT DECISION November 18, 2008 Respondent is barred from associating with any FINRA member in any capacity for failure to respond to requests for information, in violation of NASD Rules 8210 and 2110. In light of the bar, no additional sanctions imposed for willful failure to disclose

    Reference 2007010993901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5429943

Other names1

Also known as1

ZENAIDA RITA GARCIA

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