Nex Systems
Person

JANET LOUISE FRAKES

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

    05/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033857101 TO: Department o f Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Janet Louise Frakes, Respondent CRD No. 3120413 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit 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 condition that, if accepted, FINRA

    Reference 2012033857101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3120413

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