Nex Systems
Person

JOAN LUND BARERE

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/30/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034833401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joan Lund Barere (CRD No. 5710454), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Joan Lund Barere ("Respondent" or "Barere"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2012034833401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5710454

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.