Nex Systems
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Arnab Sarkar

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

    07/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034456902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arnab Sarkar, Respondent Former Investment Company Shares and Variable Contracts Representative CRD No. 5511326 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2012034456902data-portal.finra.orgfinra.org

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