Nex Systems
Type not stated

GINA SIMS

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GINA SIMS (CRD No. 4718520), Respondent. Disciplinary Proceeding No. 2008012948801 Hearing Officer - MAD DEFAULT DECISION November 23, 2009 Respondent is barred from associating with any member firm in any capacity for (i) converting customer funds received as payment for an automobile insurance premium, in violation of Conduct Rule 2110; (ii) converting customer funds received as payment for

    07/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. GINA SIMS (CRD No. 4718520), Respondent. DISCIPLINARY PROCEEDING No. 2008012948801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In multiple transactions between October 2006 and February 2008, Gina Sims ("Sims"), while employed at Allstate Financial Services, LLC ("Allstate" or the "Firm"), deposited checks totaling $6,000 that she obtained from three Firm customers ("WQ," "NP" and

    Reference 2008012948801data-portal.finra.orgdata-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.