Nex Systems
Person

TRISHA J. SMITH

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

    07/21/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. TRISHA J. SMITH (CRD No. 2796673), Respondent. Disciplinary Proceeding No. C07050007 Hearing Officer - SNB AMENDED DEFAULT DECISION July 21, 2005 Respondent is barred from associating with any NASD member in any capacity for misusing customer funds, in violation of NASD Conduct Rule 2110, and for failing to respond to requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. In

    Reference C07050007data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2796673

Other names1

Also known as1

TRISHA JOYCE SMITH

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