Nex Systems
Type not stated

EILEEN BETH APPELBLATT

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

    02/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EILEEN BETH APPELBLATT (CRD No. 3276058), Respondent. Disciplinary Proceeding No. 2011027186401 Hearing Officer - RLP DEFAULT DECISION February 21, 2013 For (i) falsifying wire transfer documentation and, in so doing, (ii) causing her firm's books and records to be inaccurate, Respondent is suspended in all capacities for 60 days and fined $10,000. Appearances Christopher A. Perrin, Esq., and

    Reference 2011027186401data-portal.finra.orgfinra.org

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