Nex Systems
Person

Christel Marie Sparks

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

    11/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043840701 TO: Department of Enforcement. Financial Industry Regulatory Authority ("FINRA") RE: Christel Marie Sparks Respondent Registered Representative CRD No.2147336 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Christel Marie Sparks ("Sparks" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2014043840701data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2147336

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