Nex Systems
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IMRAN NASIM SHAMS

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

    06/21/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. IMRAN NASIM SHAMS, CRD No. 2648646, RESPONDENT. DISCIPLINARY PROCEEDING No. EAF0301040003 HEARING OFFICER: DAVID M. FITZGERALD ORDER ACCEPTING OFFER OF SETTLEMENT DATE: JUNE 21, 2006 INTRODUCTION Disciplinary Proceeding No. EAF0301040003 was filed on December 28, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Imran Nasim Shams ("Respondent" or "Shams") submitted an Offer of Settlement ("Offer") to

    Reference EAF0301040003data-portal.finra.orgfinra.org

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