Nex Systems
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Chaitanya Goyal

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

    01/09/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077778401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chaitanya Goyal (Respondent) Former Securities Trader CRD No. 7515082 Pursuant to FINRA Rule 9216, Respondent Chaitanya Goyal submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2023077778401data-portal.finra.orgfinra.org

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