Nex Systems
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Danielle M. Freeman

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

    01/31/2025: During August 2023, in anticipation of departing Northwestern, Freeman improperly transferred copies of thousands of files containing customers’ nonpublic personal information from Northwestern’s systems to her personal cloud storage site. The nonpublic personal information included customers’ Social Security and tax identification numbers, state driver’s license and state identification numbers, and financial account numbers. She transferred and retained this information until April 2024 without the customers’ knowledge or consent and in contravention of Northwestern’s procedures. As a result, Freeman violated FINRA Rule 2010 and is suspended for one month and fined $5,000.

    Reference 2023077629803data-portal.finra.orgfinra.org

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