Nex Systems
Person

MIGUEL A. CHAVEZ

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

    07/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MIGUEL A. CHAVEZ (CRD No. 4686088), Respondent. Disciplinary Proceeding No. 20070092008 Hearing Officer-MAD DEFAULT DECISION July 17, 2009 Respondent is barred from associating with any FINRA member firm in any capacity for: (i) failing to notify his employer, in writing, that he had opened a securities account at another FINRA member firm and failing to notify the firm at which he opened the

    Reference 2007009200801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4686088

Other names1

Also known as1

MIGUEL ALBERTO CHAVEZ

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