Nex Systems
Person

MAHMOOD HASAN USMANI

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

    11/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100224760-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Mahmood Hasan Usmani, Respondent CRD No. 5727193 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Mahmood Hasan Usmani ("Usmani" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2010022476001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5727193

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