Nex Systems
Type not stated

JOAQUINITO SEE SOLIMAN

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

    07/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015584401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joaquinito See Soliman, Respondent General Securities Representative CRD No. 1840707 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Joaquinito See Soliman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2008015584401data-portal.finra.orgfinra.org

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