Nex Systems
Type not stated

EDWARD A. SALAZAR

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. EDWARD A. SALAZAR, (CRD 2338244) RESPONDENT. DISCIPLINARY PROCEEDING No. 20100224056 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about April 2006 through in or about November 2006, while employed by Countrywide Investment Services, Inc. (the "Firm" or "Countrywide") Respondent participated in the sale to one investor of $1.1 million in Bonded Life Settlements offered by

    03/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EDWARD A. SALAZAR, (CRD No. 2338244), Respondent. Disciplinary Proceeding No. 20100224056 Hearing Officer-LOM DEFAULT DECISION March 12, 2012 Respondent violated NASD Rules 3040 and 2110 by selling securities without providing his firm advance written notice and obtaining the firm's approval. With respect to those transactions, he also violated NASD Rules 2310 and 2110 by failing to have an adequate

    Reference 2010022405601data-portal.finra.orgdata-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.