Nex Systems
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DeCarla Mathis

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

    07/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033078801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: DeCarla Mathis ("Mathis"), Respondent General Securities Representative CRD No. 4214466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent (''AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2012033078801data-portal.finra.orgfinra.org

Other names1

Also known as1

Mathis

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