Nex Systems
Person

CATHY IONE EARNEST

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

    06/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052944001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FlNRA") RE: Cathy Ione Earnest ("Earnest") General Securities Representative ("GSR")/Investment Company Products/Variable Contracts Representative ("IR") CRD No. 2606992 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Cathy lone Earnest, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose

    Reference 2017052944001finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2606992

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