Nex Systems
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GWENDOLYN F. CASH

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

    10/13/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gwendolyn F. Cash CRD No. 4907909 Respondent. Disciplinary Proceeding No. C07050044 Hearing Officer: SW ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. C07050044 was filed on June 22, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Cash submitted an Offer of Settlement ("Offer") to Complainant on September 26, 2005. Pursuant to Code of Procedure Rule 9270(e),

    Reference C07050044data-portal.finra.orgfinra.org

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