Nex Systems
Person

YVONNE PERSAUD

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

    12/30/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045227301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Yvonne Persaud, Respondent Former Associated Person CRD No. 4256810 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 condition

    Reference 2015045227301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4256810

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