Nex Systems
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Emie Garcia

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

    07/25/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055914801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Emie Garcia, Respondent Former Registered Representative CRD No. 6329782 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2017055914801data-portal.finra.orgfinra.org

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