Nex Systems
Person

Amy M. O'Brien

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

    12/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073002001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Amy M. O’Brien (Respondent) General Securities Representative CRD No. 5765481 Pursuant to FINRA Rule 9216, Respondent Amy M. O’Brien submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021073002001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5765481

Other names1

Also known as1

Amy Marjorie O'Brien

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