Nex Systems
Person

Ricardo Rodriguez-Stern

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ricardo Rodriguez-Stern (CRD No. 4676168), Respondent. DISCIPLINARY PROCEEDING No. 2016048870601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2016, Enforcement opened an investigation into

    Reference 2016048870601data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/05/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. RICARDO RODRIGUEZ-STERN (CRD No. 4676168), Respondent. Disciplinary Proceeding No. 2016048870601 Hearing Officer–MJD DEFAULT DECISION February 5, 2018 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information during an investigation, in violation of FINRA Rules 8210 and 2010.

    Reference 2016048870601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4676168

Other names1

Also known as1

Richardo Rodriguez-Stern

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