Nex Systems
Type not stated

Darrel Michael Cruz

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

    07/20/2018: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Scottsdale Capital Advisors Corporation Scottsdale, AZ, John Joseph Hurry Paradise Valley, AZ, Timothy Brian DiBlasi Surprise, AZ, and Darrel Michael Cruz Scottsdale, AZ, Respondents. DECISION Complaint No. 2014041724601 Dated: July 20, 2018 Scottsdale Capital Advisors sold unregistered and nonexempt microcap securities,

    Reference 2014041724601data-portal.finra.orgfinra.org

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