Nex Systems
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CAROL JOY BOUABID

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

    11/01/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation Complainant, v. Carol Joy Bouabid Respondent. Disciplinary Proceeding No. 2005000029202 Hearing Officer: Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT November 1, 2007 INTRODUCTION Disciplinary Proceeding No. 2005000029202 was filed on March 13, 2007, by the Department of Market Regulation

    Reference 2005000029202data-portal.finra.orgfinra.org

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