Nex Systems
Type not stated

BARBARA ANN KOONTZ

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

    09/24/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005879301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barbara Ann Koontz, Respondent General Securities Representative Investment Company / Variable Contracts-Principal Investment Company / Variable Contracts Representative CRD No. 1487389 Pursuant to Rule 9216 of the NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

    Reference 2006005879301data-portal.finra.orgfinra.org

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