Nex Systems
Type not stated

CHRISTINE N. PARMA

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/25/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060056070 TO: Department o f Enforcement NASD RE: Christine N. Parma, Respondent. Investment Company Products/Variable Contracts Representative CRD No. 4434674 Pursuant to Rule 9216 of NASD Code of Procedure, I, Christine N. Parma, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD

    Reference 2006005607001finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.