Nex Systems
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CHRISTOPHER ARIOLA

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

    08/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. CHRISTOPHER B. ARIOLA, (CRD No. 2957096). Respondent. DISCIPLINARY PROCEEDING No. 2012034139101 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From late December 2011 through July 2012, while he was registered with Bay Mutual Financial, LLC (''BMF"), Respondent recommended that three elderly retirees invest a substantial portion of their limited retirement

    Reference 2012034139101data-portal.finra.orgfinra.org

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