Nex Systems
Person

VICTORIA ANN TOTH

Financial crime

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Effective
    9 Jul 2010

    Prohibition/Removal Orders

    Office of the Comptroller of the CurrencyUS OCC Enforcement ActionsUnited States

    Prohibition

    Reference AA-EC-09-45apps.occ.gov

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VICTORIA ANN TOTH (CRD No. 4667623), Respondent. Disciplinary Proceeding No. 2008012343001 Hearing Officer - LBB DEFAULT DECISION June 29, 2009 Respondent is barred from associating with any member firm for misappropriation of funds in violation of Conduct Rule 2110. She is also barred for failure to respond to requests to submit a written statement and failure to appear for an on-the-record

    02/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. VICTORIA ANN TOTH (CRD No. 4667623), Respondent. DISCIPLINARY PROCEEDING No. 2008012343001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In two separate transactions on June 7, 2006 and September 29, 2006, Victoria Ann Toth ("Toth"), while employed at BNY Investment Center, Inc. ("BNY"), in a business unit which was acquired by J.P Morgan Chase Bank, NA (the "Firm" or "J.P Morgan") in

    Reference 2008012343001data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4667623

Other names1

Also known as1

Toth, Victoria A.

Addresses1

  • Columbus, OH

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