Nex Systems
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CARLOS ROBERTO CHAVEZ

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

    09/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024503002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlos Roberto Chavez, Respondent Investment Company Products/Variable Contracts Representative CRD No. 3103298 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Carlos Roberto Chavez, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2010024503002data-portal.finra.orgfinra.org

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