Nex Systems
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BARBARA ANN COMER

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

    12/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO 2012034656401 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: Barbara Ann Comer (CRD No. 1014222), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Barbara Ann Comer ("Comer" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2012034656401data-portal.finra.orgfinra.org

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