Nex Systems
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Emilio Guajardo Jr.

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

    12/23/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2022076210801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Emilio Guajardo, Jr. (Respondent) Former General Securities Representative CRD No. 4871764 Pursuant to FINRA Rule 9216, Respondent Emilio Guajardo, Jr., ("Guajardo"), submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2022076210801finra.orgdata-portal.finra.org

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