Nex Systems
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Candice E. Montie

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

    03/31/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064819501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Candice E. Montie (Respondent) General Securities Representative CRD No. 4726799 Pursuant to FINRA Rule 9216, Respondent Candice E. Montie submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019064819501data-portal.finra.orgfinra.org

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