Nex Systems
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CATHERINE LEIGH BROWN

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

    03/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT MATTER NO. 20090169463 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Catherine Leigh Brown, Respondent Registered Representative CRD 1332036 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

    Reference 2009016946301data-portal.finra.orgfinra.org

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