Nex Systems
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BARBARA L. BOTTOMS

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

    09/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHOIUTY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046794502 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA:) RE: Barbara L. Bottoms, Respondent CRD No. 1344956 Pursuant to FlNRA Rule 9216 of FINRA s Code of Procedure. Respondent Barbara L. Bottoms ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference 2015046794502finra.orgdata-portal.finra.org

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