Nex Systems
Person

KERIE ANNE 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

    02/28/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004237301 TO: Department of Enforcement NASD RE: Kerie Anne Smith, Respondent Associated Person CRD No. 4512256 Pursuant to Rule 9216 of the NASD Code of Procedure, Kerie Anne Smith ("Smith") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference 2006004237301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4512256

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