Nex Systems
Type not stated

ELIZABETH HARRIS

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

    06/06/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000760101 TO: Department of Enforcement NASD RE: Citigroup Global Markets Inc. (BD No. 7059) Jeffrey Sweitzer (CRD # 873672) Matthew Mutter (CRD # 2743664) Joseph Zentner (CRD # 2797807) Randall Matz (CRD # 1234476) Elizabeth Harris (CRD # 1014370) Pursuant to Rule 9216 of NASD Code of Procedure, Citigroup Global Markets Inc. ("CGMI"), Jeffrey Sweitzer ("Sweitzer"), Matthew Muller ("Muller"), Joseph Zentner ("Zentner"), Randall Matz ("Matz") and

    Reference 2005000760101data-portal.finra.orgfinra.org

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