Nex Systems
Type not stated

Elizabeth Stockwell

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

    08/01/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062318301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elizabeth Stockwell, Respondent General Securities Representative CRD No. 6398497 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Elizabeth Stockwell submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2019062318301data-portal.finra.orgfinra.org

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