Nex Systems
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DENING SUZANNE LOHEZ

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

    04/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DENING SUZANNE LOHEZ (CRD No. 2920965), Respondent. DISCIPLINARY PROCEEDING No. 2006005954101 Hearing Officer Alan W. Heifetz ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2006005954101 was filed on October 11, 2007, by the Department of Enforcement of the FINRA (formerly NASD) ("Complainant"). Respondent Dening Suzanne Lohez submitted and Offer of Settlement

    Reference 2006005954101finra.orgdata-portal.finra.org

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