Nex Systems
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ANNE O'CALLAGHAN

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

    06/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120329622-01 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA”) RE: Anne O'Callaghan, Respondent General Securities Representative CRD No. 5804802 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2012032962201data-portal.finra.orgfinra.org

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