Nex Systems
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Beth L. Klein Friedman

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

    12/22/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063788401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Beth L. Klein Friedman (Respondent) Former General Securities Representative CRD No. 1432633 Pursuant to FINRA Rule 9216, Respondent Beth L. Klein Friedman submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063788401data-portal.finra.orgfinra.org

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