Nex Systems
Person

ABHISHEK UPPAL

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

    10/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090195963-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Abhishek Uppal, Respondent CRD No. 5177398 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Abhishek Uppal ("Uppal" or "Respondent"), 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 submitted on

    Reference 2009019596301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5177398

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