Nex Systems
Type not stated

INGER WILSON FIELDS

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

    05/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049751001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Royal Alliance Associates, Inc., Respondent Member Firm CRD# 23131 FSC Securities Corporation, Respondent Member Firm CRD# 7461 SagePoint Financial, Inc., Respondent Member Firm CRD# 133763 Woodbury Financial Services, Inc., Respondent Member Firm CRD# 421 Inger Wilson Fields, Respondent Financial and Operations Principal and

    Reference 2016049751001data-portal.finra.orgfinra.org

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