Nex Systems
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GUADALUPE RIVERA

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

    09/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010853701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Guadalupe Rivera, Respondent (CRD # 4916520) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Guadalupe Rivera ("Rivera"), 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 that,

    Reference 2007010853701data-portal.finra.orgfinra.org

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