Nex Systems
Type not stated

ADITYA MUKERJI

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

    12/11/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. REDWOOD SECURITIES GROUP, INC. (CRD No. 27536), AND ADITYA MUKERJI (CRD No. 342216), RESPONDENTS. DISCIPLINARY PROCEEDING NOS. E0120050070, 20060040112, 20060043082 & 20060046541 HEARING OFFICER - Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 10, 2007 INTRODUCTION Disciplinary Proceeding Numbers E0120050070, 20060040112, 20060043082, and 20060046541 were filed on

    Reference 2006004011201data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/07/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. REDWOOD SECURITIES GROUP, INC. (CRD No. 27536), and ADITYA MUKERJI (CRD No. 342216), Respondents. Disciplinary Proceeding No. C01040024 Hearing Officer-SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 7, 2005 INTRODUCTION The Department of Enforcement of NASD ("Complainant") filed Disciplinary Proceeding No. C01040024 on October 18, 2004. Respondents Redwood Securities Group, Inc. ("Redwood") and Aditya Mukerji (collectively

    Reference C01040024data-portal.finra.orgfinra.org

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