Nex Systems
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ALFRED RODRIGUEZ

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

    10/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100254493 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alfred Rodriguez Former Securities Representative (CRD No. 5648703) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alfred Rodriguez ("Rodriguez" or '"Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2010025449301data-portal.finra.orgfinra.org

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