Nex Systems
Person

CHRIS CALIA

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

    12/08/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038224201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Chris Calia, Respondent CRD No. 4807042 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Chris Calia ("Calia" 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 condition

    Reference 2013038224201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4807042

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