Nex Systems
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CANDACE JEAN LEE

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

    10/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CANDACE JEAN LEE (CRD No. 1502112), Respondent. Disciplinary Proceeding No. 2013035095301 Hearing Officer-AHP CORRECTED HEARING PANEL DECISION GRANTING MOTION FOR SUMMARY DISPOSITION October 1, 2015 Enforcement is precluded from relitigating issues previously determined in another case. Complaint dismissed. Appearances For FINRA's Department of Enforcement, Complainant: Meghan S. Bailey

    03/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Candace Jean Lee (CRD No. 1502112), Respondent. DISCIPLINARY PROCEEDING No. 2013035095301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Candace Jean Lee ("Lee") acted as a principal and supervisor while suspended in principal and supervisory capacities. RESPONDENT AND JURISDICTION 2. Lee entered the securities industry in April 1986, when she became associated

    Reference 2013035095301data-portal.finra.orgdata-portal.finra.orgfinra.org

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