Nex Systems
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ISRAEL ECHI

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

    11/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ISRAEL ECHI (CRD No. 5416372), Respondent. Disciplinary Proceeding No. 2007010774001 DEFAULT DECISION Hearing Officer -SW Date: November 19, 2008 Respondent is suspended from associating with any FINRA member for one year in all capacities and fined $5,000 for violating Conduct Rule 2110 and IM-1000-1 by willfully failing to disclose his criminal history on his Form U4, and Respondent is

    Reference 2007010774001data-portal.finra.orgfinra.org

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