Nex Systems
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John Valliades

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

    12/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042721002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Valliades, Respondent General Securities Representative CRD No. 726555 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Valliades ("Respondent" or "Valliades"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014042721002data-portal.finra.orgfinra.org

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