Nex Systems
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Clare Marie Cail

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

    04/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062856101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Clare Marie Cail, Respondent General Securities Representative CRD No. 2398511 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Clare Marie Cail (“Cail” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019062856101data-portal.finra.orgfinra.org

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