Nex Systems
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GUILLHERME MARTINS

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

    01/18/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050020893-02 TO: Department of Enforcement NASD RE: Guillherme Martins, Respondent General Securities Representative CRD No. 4585724 Pursuant to Rule 9216 of NASD Code of Procedure, I, Guillherme Martins, submit 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 future

    Reference 2005002089302data-portal.finra.orgfinra.org

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