Nex Systems
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Enrique Mercado 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

    10/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Comp[ainant, v. Enrique Mercado, Jr, (CRD No. 2242873), Respondent. DISCIPLINARY PROCEEDING No. 2012033767402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On April 26, 2013, Enrique Mercado, Jr. ("Mercado" or "Respondent") provided a false and backdated FINRA Rule 3130 certification to FINRA's Department of Enforcement in response to a FINRA Rule 8210 request. The certification falsely stated

    04/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Enrique Mercado, Jr. (CRD No. 2242873), Respondent. DISCIPLINARY PROCEEDING No. 2012033767402 Hearing Officer-KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 27, 2017 INTRODUCTION Disciplinary Proceeding No. 2012033767402 was filed on October 7, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Enrique Mercado, Jr. submitted

    Reference 2012033767402data-portal.finra.orgfinra.orgdata-portal.finra.org

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