Nex Systems
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JILL SWISHER

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

    05/28/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009021029603 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jill Swisher, Respondent General Securities Representative CRD No. 4093810 Pursuant to FINRA Rule 9216 of FlNRA's Code of Procedure, I, Jill Swisher ("Swisher"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2009021029603finra.orgdata-portal.finra.org

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