Nex Systems
Person

MAUREEN C. SULLIVAN

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

    01/03/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MAUREEN C. SULLIVAN (CRD No. 2192738), Respondent. Disciplinary Proceeding No.2005002129901 Hearing Officer - DMF DEFAULT DECISION January 3, 2007 Summary Respondent is barred from associating with any NASD member in any capacity for failing to disclose a felony grand theft charge and guilty plea on her Form U-4, in violation of Rule 2110; failing to update her Form U-4 to disclose state regulatory actions, in violation of Rule

    Reference 2005002129901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2192738

Other names1

Also known as1

MAUREEN CATHERINE SULLIVAN

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