Nex Systems
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Hector Villalta

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

    11/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053281101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Hector Villalta ("Respondent" or "Villalta") Former Investment Company and Variable Contracts Products Representative CRD No. 5857282 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2017053281101data-portal.finra.orgfinra.org

Other names2

Also known as2

VillaltaRespondent

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