Nex Systems
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ALEJANDRO ROTUNDO

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

    06/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024417501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alejandro Rotundo, Respondent General Securities Representative and Investment Banking Representative [CRD No. 4627887] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alejandro Rotundo, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2010024417501finra.orgdata-portal.finra.org

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