Nex Systems
Type not stated

AMY SIESENNOP

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

    10/22/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AMY SIESENNOP (CRD No. 2735819), Respondent. Disciplinary Proceeding No. 2010025132201 Hearing Officer - MC HEARING PANEL DECISION October 22, 2012 Respondent Amy Siesennop guaranteed a customer against loss, in violation of FINRA Rules 2150 and 2010; settled with a customer in exchange for an agreement not to complain to FINRA, in violation of FINRA Rule 2010; failed to properly report receipt of

    Reference 2010025132201data-portal.finra.orgfinra.org

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