SCOTT FREDERICK TAKACS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/18/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. SCOTT TAKACS (CRD No. 3177647) Respondent. Disciplinary Proceeding No. E3A20O4032801 Hearing Officer - AWH DEFAULT DECISION January 18, 2006 Formerly registered representative misappropriated firm funds, in violation of NASD Conduct Rule 2110, and failed to respond to NASD staff requests for information and testimony, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent barred for misuse of funds and failure to
Reference E3A2004032801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3177647

Other names1

Also known as1

SCOTT TAKACS

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