Nex Systems
Person

Rochelle Maureen Matthews

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

    03/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034737101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Rochelle Maureen Matthews, Respondent CRD No. 2831140 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits 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

    Reference 2012034737101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2831140

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