Nex Systems
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CRISTIE LYNN ROTHWEILER

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

    08/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Cristie Lynn Rothweiler (CRD No. 5209424), Respondents. DISCIPLINARY PROCEEDING No. 2010024238801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In September 2009 and March 2010, Cristie Lynn Rothweiler engaged in check kiting and drew bad checks on her account at a bank affiliated with the firm with which she was associated, Charles Schwab & Co., Inc. ("Charles Schwab" or the

    05/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CRISTIE LYNN ROTHWEILER (CRD No. 5209424), Respondent. Disciplinary Proceeding No. 2010024238801 Hearing Officer - MC AMENDED DEFAULT DECISION May 21, 2013 For engaging in check kiting, by writing checks on an account with insufficient funds and on a closed account, and for converting funds from her FINRA member firm employer, in violation of FINRA Rule 2010, Respondent Cristie Lynn Rothweiler is

    Reference 2010024238801data-portal.finra.orgdata-portal.finra.orgfinra.org

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