Nex Systems
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ASAD FARRAJ

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

    03/29/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NOC10050010 TO: Department of Enforcement NASD RE: Asad Farraj (CRD No. 2570810) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Asad Farraj ("Farraj" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

    Reference C10050010data-portal.finra.orgfinra.org

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