Nex Systems
Person

CRISTIN SHEA HOBSON

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

    04/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100228577 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Cristin Shea Hobson, Respondent CRD No. 5308126 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits 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

    Reference 2010022857701finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5308126

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