Nex Systems
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Armando Alejandro Barron

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

    01/08/2025: Between October 2019 and April 2023, while associated with IRC, Barron participated in private securities transactions by soliciting 14 investors to enter into 30 promissory note transactions, totaling $979,500, with a limited liability company (LLC) owned and controlled by Barron. The notes were securities, and Barron failed to provide the firm with adequate prior written notice of these private securities transactions. As a result, Barron violated FINRA Rules 3280 and 2010. In addition, from at least October 2020 to at least February 2023, Barron violated FINRA Rules 2210 and 2010 by soliciting individuals to invest in the promissory notes through communications that failed to comply with FINRA’s content standards for communications with the public.

    Reference 2022075399002finra.orgdata-portal.finra.org

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