Nex Systems
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GRISSEL M. CARBONELL

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

    06/22/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0720040050 DISTRICT FL TO: Department of Enforcement NASD RE: Grissel M. Carbonell Financial and Operations Principal [CRD No. 2251670] Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Grissel M. Carbonell submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

    Reference E072004005001data-portal.finra.orgfinra.org

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