Nex Systems
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HEATHER MARIE MCCALL

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

    03/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HEATHER MARIE MCCALL, CRD No. 5311041, Respondent. Disciplinary Proceeding No. 2013039144101 Hearing Officer - DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 27,2015 INTRODUCTION Disciplinary Proceeding No. 2013039144101 was filed on January 6, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Heather Marie McCall

    01/06/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Heather Marie McCall, Respondent. DISCIPLINARY PROCEEDING No. 2013039144101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between November 30, 2012 and January 21, 2013, Heather McCall (CRD No. 5311041) ("McCall") engaged in outside business activity with and received compensation from another financial institution without providing her employer firm,

    Reference 2013039144101data-portal.finra.orgdata-portal.finra.orgfinra.org

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