Nex Systems
Person

KAREN ANN MENDEZ

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

    01/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033843101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Karen Ann Mendez, Respondent General Securities Representative CRD No. 4503290 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2012033843101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4503290

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