Nex Systems
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Corinne Renae Mittag

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

    03/28/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Corinne Renae Mittag (CRD No. 2754498), Respondent. DISCIPLINARY PROCEEDING No. 2015044594201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In January 2015, an imposter (Imposter) posing as a BancWest Investment Services Inc. (BancWest or the Firm) customer, RC, sent emails to Corinne Renae Mittag (Respondent), a registered representative at the Firm, requesting that Mittag

    09/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. CORINNE RENAE MITTAG, CRD No. 2754498, Respondent. Disciplinary Proceeding No. 2015044594201 Hearing Officer – MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 20, 2017

    Reference 2015044594201data-portal.finra.orgfinra.orgdata-portal.finra.org

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