Nex Systems
Person

DEBORAH DICKSON KELLEY

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

    03/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046919201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Deborah Dickson Kelley, Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 1179082 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2015046919201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1179082

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