Nex Systems
Person

ANDRES ENRIQUE ROJAS

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Disciplinary Proceeding Complainant, v. ANDRES ROJAS, (CRD No. 4799671), Respondent. Disciplinary Proceeding No. 2011027886901 Hearing Officer - David R. Sonnenberg DEFAULT DECISION December 4, 2013 Respondent is barred for participating in the impersonation of a customer and making a false statement to a FINRA member firm in connection with the impersonation in violation of FINRA Conduct Rule 2010

    Reference 2011027886901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4799671

Other names1

Also known as1

ANDRES ROJAS

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.