Nex Systems
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Angela Marie Chatfield

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

    02/14/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059598101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Angela Marie Chatfield, Respondent General Securities Representative CRD No. 6597761 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Angela Marie Chatfield ("Chatfield" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059598101finra.orgdata-portal.finra.org

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