Nex Systems
Type not stated

CAROL SHARPE BOONE

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

    12/07/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060039815-01 To: Department of Enforcement FINRA Re: N.I.S. Financial Services, Inc. Member (CRD No. 5361) and Carol Sharpe Boone Financial and Operations Principal and Investment Company and Variable Contracts Products Principal (CRD No. 722594) Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, N.I.S. Financial Services, Inc. (NIS) and Carol Sharpe Boone (Boone) submit this Letter of

    Reference 2006003981501data-portal.finra.orgfinra.org

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