Nex Systems
Type not stated

FREDDY A. MEDINA

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

    03/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FREDDY A. MEDINA (CRD No. 4988363), Respondent. Disciplinary Proceeding No. 2009016551301 Hearing Officer - MC HEARING PANEL DECISION March 8, 2011 Respondent is censured and fined SI0,000 for violating NASD Conduct Rules 2110 and 3110 by altering a customer account document and causing his employer firm to maintain a false record. Respondent is also ordered to pay costs. Appearances Thomas M. Huber

    Reference 2009016551301finra.orgdata-portal.finra.org

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