Nex Systems
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James Ortega

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

    10/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061168602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Ortega, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6676466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James Ortega submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061168602data-portal.finra.orgfinra.org

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