Nex Systems
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ALI RADFAR

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

    05/18/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045182301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ali Radfar, Respondent Investment Banking Representative CRD No. 5145954 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ali Radfar ("Radfar" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC') for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2015045182301data-portal.finra.orgfinra.org

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