Nex Systems
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Hector Luis Luna

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

    06/08/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063560201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Hector Luis Luna, Respondent Former Registered Representative CRD No. 1078900 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Hector Luis Luna (“Luna”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063560201data-portal.finra.orgfinra.org

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