Nex Systems
Person

JOSE A. ZAPATA

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

    12/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039998801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jose A. Zapata, Respondent General Securities Representative CRD No. 2892463 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 2014039998801finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2892463

Other names1

Also known as1

JOSE ANGEL ZAPATA, JR

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.