Nex Systems
Person

LAURA ANNE POTTS

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

    02/25/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018291401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Laura Anne Potts, Respondent Registered Representative CRD No. 5102900 Pursuant to FINRA Rule 9216 of the FINRA Code of Procedure, Laura Anne Potts ("Respondent" or "Potts") submits this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2009018291401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5102900

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