Nex Systems
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Barbara Dalton Russell

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

    01/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160484350 01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Barbara Dalton Russell, Respondent CRD No. 1173259 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Barbara Dalton Russell ("Russell"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2016048435001finra.orgdata-portal.finra.org

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