Nex Systems
Person

ELLEN ELIZABETH SIMS

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

    10/05/2016: FlNANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050463901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ellen Elizabeth Sims, Respondent CRD No. 6342808 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ellen Elizabeth Sims, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2016050463901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6342808

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