Nex Systems
Type not stated

CARLOS M. BRAVO

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

    02/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Carlos M. Bravo (CRD No. 1209899), Respondent. DISCIPLINARY PROCEEDING No. 2007011272601 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 17, 2009 INTRODUCTION Disciplinary Proceeding No. 2007011272601 was filed on November 14, 2009, by the Department of Enforcement of the Financial Industry

    Reference 2007011272601data-portal.finra.orgfinra.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.