Nex Systems
Person

Christine J. Troxel

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

    09/10/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069221201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christine J. Troxel (Respondent) Former Associated Person CRD No. 7167887 Pursuant to FINRA Rule 9216, Respondent Christine J. Troxel 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,

    Reference 2021069221201data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number7167887

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