Nex Systems
Type not stated

JAMES BERTERO

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

    11/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039312001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Bertero, Respondent General Securities Representative CRD No. 3126691 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Respondent James Bertero, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2013039312001data-portal.finra.orgfinra.org

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