Nex Systems
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FREDDY VAZQUEZ

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

    01/07/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FREDDY VAZQUEZ (CRD No. 5497539), Respondent. Disciplinary Proceeding No. 20080127218 Hearing Officer - MAD DEFAULT DECISION January 7, 2010 The Respondent violated Conduct Rule 2110 and IM-1000-1 by failing to disclose on his Form U4 that he had been charged with a felony. For this violation, the Respondent was suspended from associating with any member firm in any capacity for six months and

    Reference 2008012721801data-portal.finra.orgfinra.org

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