Nex Systems
Type not stated

AILEEN N. DUGAN

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

    04/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008637901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Aileea N, Dugan, Respondent Investment Company and Variable Contracts Products Representative CRD No. 3036090 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC")

    Reference 2007008637901data-portal.finra.orgfinra.org

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