Nex Systems
Person

KATHLEEN PATRICIA FAULHABER

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

    10/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010482101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Kathleen Patricia Faulhaber, Respondent Investment Company and Variable Contracts Products Representative CRD No. 3069239 Pursuant to NASD 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

    Reference 2007010482101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3069239

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