SCOTT ANTHONY BARTLETT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/15/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. SCOTT ANTHONY BARTLETT (CRD No. 3211860) Respondent. Disciplinary Proceeding No. C06040033 Hearing Officer - DM DEFAULT DECISION March 15, 2005 Respondent willfully failed to disclose a felony criminal charge on a Form U-4 and willfully failed to update the Form U-4 when he pled guilty and was convicted of the felony, in violation of Rule 2110. He also failed to respond to requests for information, in violation of
Reference C06040033data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3211860 |
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