Nex Systems
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ELIZABETH ANN VIOLA

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

    04/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038078801 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: Elizabeth Ann Viola (CRD No. 4051478), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Elizabeth Ann Viola ("Respondent" or "Viola") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013038078801finra.orgdata-portal.finra.org

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