Nex Systems
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Elizabeth Ann Guarino

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

    11/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017055883501 TO: Department of Enforcement Financial Industry Regulatory Authority (F1NRA) RE: Elizabeth Ann Guarino, Respondent General Securities Representative CRD No. 1264531 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Elizabeth Ann Guarino (“Guarino” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2017055883501data-portal.finra.orgfinra.org

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