Nex Systems
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DIANE B. HORN

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

    07/29/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD No. 2881), DIANE B. HORN (CRD No. 1974921), and Respondents. Disciplinary Proceeding No. C8A030071 Hearing Officer - SNB HEARING PANEL DECISION Respondents failed to timely report 76 customer complaints in violation of Conduct Rules 2110 and 3070. Respondent Northwestern also (1) failed to supervise

    Reference C8A030071data-portal.finra.orgfinra.org

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