Nex Systems
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ANN WILCOX BLACK

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

    07/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033063001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ann Wilcox Black (CRD No. 1085679), Respondent Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, I, Ann Wilcox Black ("Black" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement ofthe alleged rule violations described below. This AWC is

    Reference 2012033063001data-portal.finra.orgfinra.org

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