Nex Systems
Person

WILLIAM THOMAS HERNANDEZ

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

    03/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025260501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: William Thomas Hernandez, Respondent General Securities Representative CRD No. 2815703 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 described below. This AWC is submitted on the

    Reference 2010025260501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2815703

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