Nex Systems
Type not stated

Bert K. Takita Jr.

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

    09/18/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079877001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Bert K. Takita Jr. (Respondent) Former General Securities Representative CRD No. 5852632 Pursuant to FINRA Rule 9216, Respondent Bert K. Takita Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2023079877001data-portal.finra.orgfinra.org

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