Nex Systems
Person

Aileen Eppig

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

    04/13/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047608501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aileen Eppig, Respondent CRD No. 851464 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Aileen Eppig, 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 2015047608501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number851464

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