Nex Systems
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Giovanni Perez

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

    09/11/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078910401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Giovanni Perez (Respondent) Former Associated Person CRD No. 7742375 Pursuant to FINRA Rule 9216, Respondent Giovanni Perez ("Perez") submits 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 that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2023078910401finra.orgdata-portal.finra.org

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