Nex Systems
Person

KIMBERLEE THERESA WALKER

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kimberlee Walker, CRD No. 2781015, Respondent. Disciplinary Proceeding No. 2007009469501 Hearing Officer MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 23, 2009 INTRODUCTION Disciplinary Proceeding No. 2007009469501 was filed on October 17, 2008, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Kimberlee Walker submitted an Offer

    Reference 2007009469501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2781015

Other names1

Also known as1

KIMBERLEE WALKER

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.