Nex Systems
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Elaine D. LaCerte

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

    08/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20160513672-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elaine D. LaCerte, Respondent General Securities Representative CRD No. 1536459 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. This AWC is submitted

    Reference 2016051367201data-portal.finra.orgfinra.org

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