Nex Systems
Type not stated

Cynthia Kay Whitman

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

    04/26/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020065709801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cynthia Kay Whitman (Respondent) General Securities Representative CRD No. 5688967 Pursuant to FINRA Rule 9216, Respondent Cynthia Kay Whitman submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020065709801finra.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.