Nex Systems
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Benjamin Kaz Fujihara

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

    03/06/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059475401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Benjamin Kaz Fujihara, Respondent General Securities Representative, Investment Company and Variable Contracts Products Representative, General Securities Sales Supervisor CRD No. 2696451 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Benjamin Kaz Fujihara submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059475401data-portal.finra.orgfinra.org

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