SCOTT CURTIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/25/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050012141-01 TO: Department of Market Regulation NASD FROM: Scott Curtis CRD No. 1311358 Pursuant to Rule 9216 of NASD Code of Procedure, I, Scott Curtis, submit 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. I submit this AWC on the condition that, if accepted, NASD will not bring any
Reference 2005001214101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1311358 |
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