Nex Systems
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ERIC M. VALLEJO

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

    03/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072003019507 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Newbridge Securities Corporation FINRA Member CRD No. 104065 Kenneth Brown Registered Principal CRD No. 1325762 Eric M. Vallejo Registered Principal CRD No. 1754908 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Respondents Newbridge Securities Corporation, Kenneth Brown, and Eric M. Vallejo

    Reference E072003019507data-portal.finra.orgfinra.org

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