SCOTT K. LYONS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B050028 TO: Department of Enforcement NASD RE: Scott K. Lyons, Respondent CRD No. 2377884 Pursuant to Rule 9216 of NASD Code of Procedure, Scott K. Lyons ("Lyons") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging
Reference C9B050028data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2377884

Other names1

Also known as1

SCOTT KENNETH LYONS

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