Nex Systems
Person

MICHELLE LEE KERN

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

    01/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20130354585-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Michelle Lee Kern, Respondent CRD No. 4528809 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michelle Lee Kern ("Kern" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013035458501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4528809

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