Nex Systems
Type not stated

GEM ADVISORS INC.

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

    06/19/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. GEM ADVISORS, INC. (BD No. 20624) AND JULIO MARQUEZ (CRD No. 2261430) RESPONDENTS. DISCIPLINARY PROCEEDING No. 20050024626-02 HEARING OFFICER SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 19, 2007 INTRODUCTION Disciplinary Proceeding No. 20050024626-02 was filed on April 3, 2007, by the Department of Enforcement of NASD ("Complainant"). Respondents GEM Advisors, Inc. and Julio A. Marquez submitted an Offer of Settlement

    Reference 2005002462602data-portal.finra.orgfinra.org

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