Nex Systems
Person

KIMBERLY B. LAROSA

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

    07/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Kimberly B. LaRosa, CRD No. 2911452, Respondent. Disciplinary Proceeding No. 2011027852601 Hearing Officer -- RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 31, 2013 INTRODUCTION Disciplinary Proceeding No. 2011027852601 was filed on March 22, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Kimberly B. LaRosa submitted an

    Reference 2011027852601data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2911452

Other names1

Also known as1

KIMBERLY BETH LAROSA

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