Nex Systems
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ENRIQUE LOPEZ

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

    11/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110278858 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Enrique Lopez (CRD No. 5830682) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Enrique Lopez ("Respondent"), submit 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 2011027885801data-portal.finra.orgfinra.org

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