Nex Systems
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FREDERIC RAY CHAVEZ

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

    04/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006007383801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frederic Ray Chavez General Securities Representative CRD No. 1419917 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Frederic Ray Chavez ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2006007383801data-portal.finra.orgfinra.org

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