Nex Systems
Person

SHEROLYN RAE LEEPER

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

    10/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016624501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sherolyn Rae Leeper, Respondent General Securities Representative CRD No. 1214874 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

    Reference 2009016624501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1214874

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