Nex Systems
Type not stated

Hector Hugo Gutierrez Jr.

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

    02/13/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hector Hugo Gutierrez, Jr., CRD No. 6595317, Respondent. Disciplinary Proceeding No. 2016049745502 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 13, 2018 INTRODUCTION Disciplinary Proceeding No. 2016049745502 was filed on September 21, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Gutierrez

    09/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Hector Hugo Gutierrez, Jr.(CRD No. 6595317) Respondent. Disciplinary Proceeding No. 2016049745502

    Reference 2016049745502data-portal.finra.orgdata-portal.finra.orgfinra.org

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