Nex Systems
Person

KATHERINE L LE

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

    02/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150473218-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Katherine L. Le, Respondent CRD No. 2481957 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 condition that, if accepted, FINRA

    02/01/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047321801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Katherine L. Le, Respondent CRD No. 2481957 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

    Reference 2015047321801data-portal.finra.orgdata-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2481957

Other names1

Also known as1

Katherine L. Le

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