Nex Systems
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ARIANA GRACE KAISER

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

    11/11/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042390702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ariana Grace Kaiser, Respondent Former Registered Representative CRD No. 6020881 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Ariana Grace Kaiser ("Kaiser"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2014042390702data-portal.finra.orgfinra.org

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