Nex Systems
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ERNEST A. RODULFO

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

    09/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039089101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ernest A. Rodulfo (CRD No. 4381074) General Securities Representative, Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ernest A. Rodulfo, submit this Letter ofAcceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2013039089101finra.orgdata-portal.finra.org

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