Nex Systems
Type not stated

GERARDO ARTURP CHAPA

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

    12/30/2005: NASD REGULATION, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062004005301 TO: Department of Enforcement NASD Regulation, Inc. RE: Global Financial Services, L.L.C. Member Firm CRD No. 35699 Robert Claus Arthur Benjamin General Securities Principal CRD No. 838266 Gerardo Arturo Chapa General Securities Principal CRD No. 1451790 Ricardo Perusquia General Securities Principal CRD No. 1781426 Pursuant to Rule 9216 of the National Securities Dealers, Inc. ("NASD") Code of Procedure, Global Financial

    Reference E062004005301data-portal.finra.orgfinra.org

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