Nex Systems
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CATHERINE A. SHERIDAN

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

    04/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044475901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Catherine A. Sheridan, Respondent Registered Representative CRD No.: 1203915 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Catherine A. Sheridan ("Sheridan") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below

    Reference 2015044475901data-portal.finra.orgfinra.org

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