Nex Systems
Person

JOSE MIGUEL VALDES

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

    12/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038220902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jose Miguel Valdes, Respondent General Securities Representative CRD No.6166229 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jose Miguel Valdes ("Valdes" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013038220902data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6166229

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