Nex Systems
Person

DONNA M. SMITH

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DONNA M. SMITH (CRD No. 4450528), Respondent. Disciplinary Proceeding No. 2007010765801 Hearing Officer-RSH DEFAULT DECISION April 15, 2009 Respondent violated Conduct Rule 2110 by embezzling approximately $82,975 from her employer, and Procedural Rule 8210 and Conduct Rule 2110 by failing to respond to requests for information. For these violations, Respondent was barred from associating with any

    Reference 2007010765801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4450528

Other names1

Also known as1

DONNA MARIE SMITH

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.