Nex Systems
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CATHY ANN KATZENBERGER

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

    07/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008412301 To: Department of Enforcement FINRA Re: Cathy Ann Katzenberger General Securities Representative CRD No. 1141929 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Cathy Ann Katzenberger (Katzenberger), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of

    Reference 2007008412301data-portal.finra.orgfinra.org

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