Nex Systems
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CARMELA L. KNIERIEM

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

    07/12/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100247249 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carmela L. Knieriem, Respondent CRD No. 1163792 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Carmela L. Knieriem ("Knieriem"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2010024724901finra.orgdata-portal.finra.org

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