Nex Systems
Person

JUAN ALFREDO AGUILAR

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

    04/26/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Juan Alfredo Aguilar (CRD No. 5640727), Respondent. DISCIPLINARY PROCEEDING No. 2011027593701 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While registered with FINRA through a FINRA-registered broker dealer and acting as a personal banker at a bank affiliate of that broker-dealer, Respondent Juan Alfredo Aguilar ("Aguilar") reactivated a dormant bank account and

    Reference 2011027593701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5640727

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