Nex Systems
Person

CECILIA SAWYER

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, CECILIA SAWYER (a/k/a Cecilia Villanueva) (CRD No. 2549482), Respondent. Disciplinary Proceeding No. 2011030621501 Hearing Officer – SNB DEFAULT DECISION March 28, 2013 Respondent is barred for misappropriating variable annuity death benefit proceeds, in violation of FINRA Rule 2010, and for failing to respond to requests

    Reference 2011030621501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    08/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CECILIA SAWYER A/K/A CECILIA VILLANUEVA (CRD No. 2549482), RESPONDENT. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Cecilia Sawyer, a/k/a Cecilia Villanueva, participated in the misappropriation of $148,361 in variable annuity death benefit funds. Sawyer also failed to provide documents and information

    Reference 2011030621501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2549482

Other names1

Also known as1

CECILIA VILLANUEVA

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