Nex Systems
Person

RICK ESPARZA

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

    12/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150469198-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rick Esparza, Respondent CRD No. 2715553 Pursuant to FINRA Rule 9216 of FINRA s Code of Procedure, I, Rick Esparza. submit 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 that,

    Reference 2015046919801finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2715553

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