Nex Systems
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BARA YAYE CARO SENE

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

    12/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110294119-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA' ) RE: Bara Yaye Caro Sene (CRD No. 5576162) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Bara Yaye Caro Sene ("Respondent" or "Sene") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2011029411901data-portal.finra.orgfinra.org

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