Nex Systems
Type not stated

JOAO U. BORGES

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

    10/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E102002159106 TO: Department of Enforcement NASD RE: Joao U. Borges, Respondent Equity Trader and General Securities Representative [CRD No. 4406848] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference E102002159106data-portal.finra.orgfinra.org

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