Nex Systems
Type not stated

ALEX BERNAL

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/11/2008: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094334 TO: Department of Enforcement FINRA RE: Alex Bernal Non-Registered Employee CRD No. 5266422 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Alex Bernal ("Bernal") 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 that if accepted, FINRA will not bring any future actions against Bernal alleging violations

    Reference 2007009433401data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.