Nex Systems
Person

KRISTIN LEA TESTER

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

    07/08/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Kristin Lea Tester (CRD No. 5478300), Respondent. DISCIPLINARY PROCEEDING NO. 20090196083-01 ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 8, 2010 INTRODUCTION Disciplinary Proceeding No. 20090196083-01 was filed on May 20, 2010, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Kristin Lea Tester (Tester) submitted an Offer of

    Reference 2009019608301finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5478300

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