SCOTT SHERWIN POLISH

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053893501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott Sherwin Polish, Respondent Former Registered Representative CRD No. 2165523 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement oft he alleged rule violation described below. This AWC is submitted on the
Reference 2017053893501data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2165523

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