Nex Systems
Type not stated

AUDREY D. CLINE

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

    07/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Audrey D. Cline, CRD No. 2615316, Respondent Disciplinary Proceeding No. 2009017656901 Hearing Officer - Maureen A. Delaney ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 12, 2011 INTRODUCTION Disciplinary Proceeding No. 2009017656901 was filed on January 31, 2011, by the Department of Enforcement of the Financial

    Reference 2009017656901data-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.