Nex Systems
Type not stated

Alfredo Caba

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

    09/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047810201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alfredo Caba, Respondent General Securities Representative CRD No. 5614508

    Reference 2015047810201data-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.