Nex Systems
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Elizabeth A. Monge

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

    12/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044895702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elizabeth A. Monge, Respondent Former Registered Representative CRD No. 1925364 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Elizabeth Monge ("Monge" or "Respondent") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2015044895702data-portal.finra.orgfinra.org

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