Nex Systems
Person

ANN GAY PHELPS

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

    05/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023780201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ann Gay Phelps, Respondent General Securities Representative, General Securities Principal, Introducing Broker/Dealer Financial Operation Principal CRD No. 714437 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and

    Reference 2010023780201finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number714437

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