Nex Systems
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CAROLYN ANN MONAHAN

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

    05/09/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. CAROLYN ANN MONAHAN, Limited Registered Representative (CRD No. 4963922), Respondent. Disciplinary Proceeding No. 2006006773501 Hearing Officer Alan W. Heifetz ORDER ACCEPTING OFFER OF SETTLEMENT Date: Mav 9, 2008 INTRODUCTION Disciplinary Proceeding No. 2006006773501 was filed on December 14, 2007, by the

    Reference 2006006773501data-portal.finra.orgfinra.org

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