Nex Systems
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ALEXANDRE P. GUIMARAES

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

    10/23/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006868301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alexandre P. Guimaraes, Respondent Investment Company Products/Variable Contracts Representative CRD No. 4971822 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Alexandre P. Guimaraes, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2006006868301data-portal.finra.orgfinra.org

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