Nex Systems
Person

EDDIE BASORA JR.

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

    11/08/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EDDIE BASORA, JR. (CRD No. 4388378), Respondent. Disciplinary Proceeding No. 2014040809501 Hearing Officer—CC HEARING PANEL DECISION November 8, 2017 Respondent failed to timely update his Form

    12/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. EDDIE BASORA, JR., (CRD No. 4388378), RESPONDENT. DISCIPLINARY PROCEEDING No. 2014040809501 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Eddie Basora, Jr. willfully failed to timely update his Form U4 (Uniform Application for Securities Industry Registration or Transfer) to disclose a felony charge and nolo contendere plea, in violation of Article V,

    Reference 2014040809501data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4388378

Other names1

Also known as1

EDDIE BASORA, JR.

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