Nex Systems
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EUGENE P. RIVERA

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

    06/20/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ### C10050054 TO: Department of Enforcement NASD RE: Eugene P. Rivera, General Securities Representative (CRD No. 4054915) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Eugene P. Rivera ("Rivera" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below.

    Reference C10050054data-portal.finra.orgfinra.org

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