Nex Systems
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BETTY LAI 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

    09/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042426401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Betty Lai Johnson, Respondent Investment Company Products/Variable Contracts Representative CRD No. 4710847 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Betty Lai Johnson, submit this Letter of Acceptance. Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2014042426401data-portal.finra.orgfinra.org

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