Nex Systems
Type not stated

ANNA MURPHY

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050639601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Anna Murphy (CRD No. 5440842), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Anna Murphy, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,

    Reference 2016050639601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.