Nex Systems
Person

HOLLY A. GUNNETTE

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

    04/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HOLLY A. GUNNETTE (CRD NO. 3066284), Respondent. Disciplinary Proceeding No. 2006004943101 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 28, 2011 INTRODUCTION Disciplinary Proceeding No. 2006004943101 was filed on March 31, 2008, by the Department of Enforcement of the Financial Industry Regulatory

    03/31/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT of ENFORCEMENT, Complainant, v. HOLLYA-GUNNETTE (CRD NO. 3066284), Respondent. DISCIPLINARY PROCEEDING NO. 2006004943101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 1999 through May 2002, Respondent Holly A. Gunnette took more than $925,000 from investment accounts owned by elderly customer SZ and converted the

    Reference 2006004943101data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3066284

Other names1

Also known as1

HOLLY ANN GUNNETTE

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