Nex Systems
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FERNANDO ALBERTO MORGAN

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

    10/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040876601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Fernando Alberto Morgan, Respondent Investment Company Products/Variable Contracts Representative CRD No. 1200619 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Fernando Alberto Morgan, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2014040876601finra.orgdata-portal.finra.org

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