Nex Systems
Person

Jimmy Oswald Moscoso

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

    02/14/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057246701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Jimmy Oswald Moscoso, Respondent Former Registered Representative CRD No. 2912265 Pursuant to FINRA Rule 9216 of FIRNA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement

    Reference 2018057246701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2912265

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