Nex Systems
Person

Kari Ann Buckles

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

    08/27/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058777101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kari Ann Buckles, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6443019 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Kari Ann Buckles submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2018058777101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6443019

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