Nex Systems
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Caroline Faye Korn

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

    02/26/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040676701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Caroline Faye Korn, Respondent General Securities Representative CRD No. 4367196 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Caroline Faye Korn (“Korn”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2014040676701finra.orgdata-portal.finra.org

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