Nex Systems
Person

SUSAN LYNN MORRIS

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

    11/01/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2011029021901 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Susan Lynn Morris, Respondent CRD No. 1072185 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Susan Lynn Morris ("Morris" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2011029021901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1072185

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.