Nex Systems
Person

EMILY BOTELHO BARAZI

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

    10/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Emily Botelho Barazi (CRD No. 4171149), Respondent. Disciplinary Proceeding No. 20120320742-02 Hearing Officer - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 23, 2013 INTRODUCTION Disciplinary Proceeding No. 20120320742-02 was filed on August 23, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Barazi submitted an

    Reference 2012032074202data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4171149

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