Nex Systems
Person

KATHLEEN A. SHAVE

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

    05/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KATHLEEN A. SHAVE (CRD No. 1767646), Respondent. Disciplinary Proceeding No. 2008014423801 Hearing Officer-Andrew H. Perkins DEFAULT DECISION May 15, 2009 The Respondent violated Conduct Rule 2110 and Procedural Rule 8210 by failing to respond to requests for information, and violated Conduct Rule 2110 and IM-1000-1 by failing to update her Form U4 to disclose an investment-related civil action

    Reference 2008014423801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1767646

Other names1

Also known as1

KATHLEEN ANN SHAVE

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