Nex Systems
Type not stated

E.J. DE LA ROSA & CO. INC.

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

    11/26/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037910801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: E.J. De La Rosa & Co., Inc., Respondent Broker-Dealer CRD No. 25334 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, E.J. De La Rosa & Co., Inc. (“De La Rosa" or the "Firm") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement

    Reference 2013037910801data-portal.finra.orgfinra.org

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