Nex Systems
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ARTAK DALDUMYAN

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

    03/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Artak Daldumyan (CRD No. 2818761), Respondent. DISCIPLINARY PROCEEDING No. 2012033074202 Hearing Officer-LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 19, 2015 INTRODUCTION Disciplinary Proceeding No. 2012033074202 was filed on August 13, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Artak Daldumyan submitted

    08/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Artak Daldumyan (CRD No. 2818761), Respondent. DISCIPLINARY PROCEEDING No. 2012033074202 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In 2010, Artak Daldumyan made personal investments in a real estate limited liability company (LLC) and a private placement in a small, local bank, without previously disclosing the transactions to his firm, Transamerica Financial Advisors

    Reference 2012033074202data-portal.finra.orgdata-portal.finra.orgfinra.org

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