Nex Systems
Person

JOSHUA CONSTANTIN

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

    04/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016318001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Windham Securities, Inc. [BD No. 20529] Joshua Constantin, General Securities Principal, General Securities Representative [CRD No. 3221893] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Windham Securities, Inc. ("Windham") and Joshua Constantin ("Constantin") (collectively, the "Respondents") submit this

    Reference 2009016318001finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number3221893

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