Nex Systems
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Catherine E. Poole

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

    05/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Catherine E. Poole (CRD No. 1924882), Respondent. Disciplinary Proceeding No. 2012032703801 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 5, 2014 INTRODUCTION Disciplinary Proceeding No. 2012032703801 was filed on March 10, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

    03/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Catherine E. Poole CRD No. 1924882, Respondent. DISCIPLINARY PROCEEDING No. 2012032703801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In April 2012, an imposter posing as a Merrill Lynch, Pierce, Fenner & Smith Inc. (Merrill Lynch or the Firm) customer, SN, sent emails to Catherine E. Poole (Respondent), a Firm sales assistant, requesting two wire transfer

    Reference 2012032703801data-portal.finra.orgdata-portal.finra.orgfinra.org

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