Nex Systems
Type not stated

CHRISTOPHER C. TAVARES

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

    04/05/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER C. TAVARES CRD NO. 2975868 Respondent. DISCIPLINARY PROCEEDING NO. CAF040083 HEARING OFFICER ALAN W. HEIFETZ DATE: APRIL 5, 2005 INTRODUCTION Disciplinary Proceeding No. CAF-040083 was filed on November 24, 2004, by the Department of Enforcement of NASD ("Complainant"). Respondent Christopher Tavares submitted an Offer of Settlement ("Offer") to

    Reference CAF040083data-portal.finra.orgfinra.org

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