Nex Systems
Type not stated

GEORGE MONTES

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

    01/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000346105 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: George Montes, Respondent. CRD No. 602337 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, George Montes (Montes or 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 submitted on the condition

    Reference 2005000346105data-portal.finra.orgfinra.org

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