Nex Systems
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CLAUDIA JOANNE MCELWEE

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

    01/03/2007: NASD REGULATION, INC. LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000468501 TO: Department of Enforcement NASD Regulation, Inc. RE: Claudia Joanne McElwee Investment Company and Variable Contracts Products Principal CRD No. 2575420 Pursuant to Rule 9216 of the National Association of Securities Dealers, Inc. ("NASD") Code of Procedure Claudia Joanne McElwee, and ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2005000468501data-portal.finra.orgfinra.org

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