Nex Systems
Person

Arthur Espinoza

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

    06/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048881501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arthur Espinoza, Respondent Former General Securities Representative and General Securities Principal CRD No. 1344849 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2016048881501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1344849

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