Nex Systems
Type not stated

FRANK AGUILAR

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

    11/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025513101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: TriCor Financial, LLC, Respondent Member Firm CRD No. 142518 Frank Aguilar, Respondent General Securities Representative and General Securities Principal CRD No. 2296920 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents submit

    Reference 2010025513101finra.orgdata-portal.finra.org

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