Nex Systems
Person

STEPHANIE ANN BECKER

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

    01/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036408901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Stephanie Ann Becker, Respondent CRD No. 4363085 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Stephanie Ann Becker ("Respondent" or "Becker") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2013036408901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4363085

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