Nex Systems
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DAWN ANITA MARTIN

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

    05/18/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAWN ANITA MARTIN (CRD No. 3192507), Respondent. Disciplinary Proceedings No. 2006004392801 Hearing Officer - David M. FitzGerald DEFAULT DECISION May 18,2007 Summary Respondent is fined $5,000 and suspended for 90 days for borrowing funds from customers, in violation of Rules 2370 and 2110. DECISION I. Introduction The Department of Enforcement filed the attached Complaint on November 29, 2006, alleging that Respondent Dawn

    Reference 2006004392801data-portal.finra.orgfinra.org

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