Nex Systems
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FRANCIE BEA RACHAL

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

    03/18/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002154902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Francie Bea Rachal General Securities Principal CRD No. 2039587 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Francie Bea Rachal ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted

    Reference 2005002154902data-portal.finra.orgfinra.org

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