Nex Systems
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JENNY QUYEN TA

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

    11/23/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021538701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jenny Quyen Ta, Respondent General Securities Principal and General Securities Representative CRD No. 2538602 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jenny Quyen Ta, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations describe

    Reference 2010021538701data-portal.finra.orgfinra.org

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