Nex Systems
Person

RAPHAEL HUAMAN

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

    03/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120342833 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Raphael Huaman, Respondent CRD No. 5868404 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Raphael Huaman ("Huaman" or "Respondent") submits 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 2012034283301finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5868404

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