Nex Systems
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CARLOS C. GARCIA

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

    07/22/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032914901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlos C. Garcia (CRD No. 2635960), General Securities Representative and General Securities Principal, Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Carlos C. Garcia ("Garcia" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2012032914901data-portal.finra.orgfinra.org

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