Nex Systems
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DANIEL DIAZ

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

    09/15/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL DIAZ (CRD No. 4169098), Respondent. Disciplinary Proceeding No. 2005002377201 Hearing Officer-Andrew H. Perkins DEFAULT DECISION September 15, 2006 Respondent is barred from association with any member firm in any capacity for submitting fictitious account applications to his member firm, in violation of Conduct Rule 2110, and for failing to provide information requested by NASD staff pursuant to NASD Procedural Rule 8210,

    Reference 2005002377201data-portal.finra.orgfinra.org

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