Nex Systems
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BECKY VEE HALPHIN

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

    06/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2014042604701 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Becky Vee Halphin, Respondent CRD No. 2421711 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 is submitted on the condition that, if accepted

    Reference 2014042604701data-portal.finra.orgfinra.org

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