Nex Systems
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ERIC 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

    05/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080134909 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Vallejo, Respondent General Securities Representative General Securities Principal Series 55 Equity Trader CRD No, 1754908 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Eric Vallejo ("Vallejo"), submit this Letter of Acceptance, Waiver

    Reference 2008013490902data-portal.finra.orgfinra.org

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