Nex Systems
Type not stated

Bernadita Roque

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130375582 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: Bernadita Roque, Respondent Investment Company and Variable Contracts Products CRD No. 3116405 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Bernadita Roque, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013037558201finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.