Nex Systems
Person

Caroline Mohan

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

    11/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070667501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Caroline Mohan (Respondent) Former General Securities Representative (GSR) CRD No. 2429577 Pursuant to FINRA Rule 9216, Respondent Caroline Mohan 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 on the

    Reference 2021070667501finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2429577

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