NILDA LEE VASEY
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140410518 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nilda Lee Vasey, Respondent General Securities Representative CRD No. 4842504 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Nilda Lee Vasey ("Vasey") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2014041051801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4842504 |
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