Nex Systems
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JOHN GARCIA

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

    05/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005957301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Garcia (CRD No. 4621646) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, John Garcia ("Garcia" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if

    Reference 2006005957301data-portal.finra.orgfinra.org

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