Nex Systems
Type not stated

FRANK JOHN TARAZON

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027681401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frank John Tarazon, Respondent CRD No. 3272807 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frank John Tarazon ("Tarazon" or the "Respondent"), submit 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

    Reference 2011027681401data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.