Nex Systems
Person

Roxana Sophia McKinney

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

    12/02/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059315002 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Roxana Sophia McKinney, Respondent CRD No. 4830895 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Roxana Sophia McKinney submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059315002finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number4830895

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