Nex Systems
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Evelyn Batista

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

    07/29/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068662501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Evelyn Batista (Respondent) Former General Securities Representative CRD No. 7168518 Pursuant to FINRA Rule 9216, Respondent Evelyn Batista submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

    Reference 2020068662501data-portal.finra.orgfinra.org

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