Nex Systems
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ELANGOVAN SURENDRAN

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

    09/01/2005: DEPARTMENT OF ENFORCEMENT, Complainant, v. ELANGOVAN SURENDRAN (CRD No. 2658729) Respondent Disciplinary Proceeding No. C9B050008 Hearing Officer-SW ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. C9B050008 was filed on or about January 27, 2005 by the Department of Enforcement of NASD ("Complainant"). Respondent Elangovan Surendran ("Surendran") submitted an Offer of Settlement ("Offer") to Complainant on or about August 4, 2005. Pursuant to Code of Procedure Rule 9270(e), the

    01/27/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. ELANGOVAN SURENDRAN CRD No. 2658729 Respondent. Disciplinary Proceeding No. C9B050008 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges the following: 1. Respondent Elangovan Surendran ("Surendran") became registered with NASD as a Series 7 general securities representative on September 15, 1995; and registered as a Series 24 general securities

    Reference C9B050008data-portal.finra.orgdata-portal.finra.orgfinra.org

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