Nex Systems
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Eneida Vega Cortes

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

    08/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065347506 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Eneida Vega Cortes (Respondent) General Securities Principal CRD No. 5790380 Pursuant to FINRA Rule 9216, Respondent Eneida Vega Cortes 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,

    Reference 2020065347506data-portal.finra.orgfinra.org

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