NITA CHARLTON-GOMES

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047119001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nita Charlton-Gomes, Respondent CRD No. 2886297 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Nita Charlton-Gomes (the "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted
Reference 2015047119001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2886297

Other names1

Also known as1

NITA LYNN CHARLTON-GOMES

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