Nex Systems
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ALISON ESTHER TAYLOR

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

    04/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420040369 To: Department of Enforcement NASD Re: Alison Esther Taylor Investment Company/Variable Contract Products Principal (CRD No. 1871817) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Alison Esther Taylor, submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is

    Reference E042004036904data-portal.finra.orgfinra.org

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