Nex Systems
Type not stated

AUDRA LYNN LALLEY

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

    06/26/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AUDRA LYNN LALLEY (CRD No. 3107785), Respondent. Disciplinary Proceeding No. 2011030072301 Hearing Officer-MC HEARING PANEL DECISION June 26, 2015 Respondent executed unauthorized trades, in violation of FINRA Rule 2010, and sent communications to a customer that were not fair and balanced, in violation of NASD Rules 2210(d)(1)(A), 2210(d)(1)(D), IM 2210-1(1), and FINRA Rule 2010.

    Reference 2011030072301data-portal.finra.orgfinra.org

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