Nex Systems
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ERIKA M. HOLMES

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

    12/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. ERIKA M. HOLMES (N/K/A ERIKA M. McAULIFFE), CRD No. 4923057 RESPONDENT. DISCIPLINARY PROCEEDING No. 2011027274701 Hearing Officer - RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 4, 2012 INTRODUCTION Disciplinary Proceeding No. 20110272747 was filed on September 28, 2012 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent

    Reference 2011027274701data-portal.finra.orgfinra.org

Other names1

Also known as1

ERIKA M MCAULIFFE

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