Nex Systems
Type not stated

BETH P. JOHNSON

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

    08/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052004001401 TO: Department of Enforcement NASD RE: Colonial Brokerage, Inc., Respondent [CRD No. 111668] and Beth P. Johnson, Respondent Financial and Operations Principal, Introducing Broker-Dealer/Financial and Operations Principal, General Securities Principal, and General Securities Representative [CRD No. 4334497] Pursuant to Rule 9216 of the NASD Code of Procedure, Colonial Brokerage, Inc. and Beth P. Johnson submit this Letter of Acceptance, Waiver

    Reference E052004001401finra.orgdata-portal.finra.org

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