Nex Systems
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JAVIER GUERRA

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

    03/22/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006958101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Bulltick LLC BD No. 104005 Javier Guerra (CRD 4166443) Victor Robles (CRD 4490918) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Bulltick LLC, Javier Guerra, and Victor Robles submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2006006958101data-portal.finra.orgfinra.org

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