Nex Systems
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GEORGE P. LARES

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

    11/09/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. George P. Lares CRD No. 1072379, Respondent. Disciplinary Proceeding No. 2005002001301 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 9, 2006 INTRODUCTION Disciplinary Proceeding No. 2005002001301 was filed on July 28, 2006, by the Department of Enforcement of NASD ("Enforcement"). Respondent, George P. Lares ("Lares") submitted an Offer of Settlement ("Offer") to Enforcement on October 31, 2006. Pursuant to

    Reference 2005002001301data-portal.finra.orgfinra.org

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