Nex Systems
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BLUE MOON FINANCIAL LLC

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

    01/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C3A050002 TO: Department of Enforcement NASD RE: Blue Moon Financial, LLC, Respondent CRD No. 123224 Patricia Hyde-Laudano, Respondent General Securities Representative and Principal CRD No. 2479575 Pursuant to Rule 9216 of NASD Code of Procedure, Respondents submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference C3A050002finra.orgdata-portal.finra.org

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