Nex Systems
Person

DOUGLAS ANTHONY POOLE

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/07/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS POOLE (CRD No. 513426), Respondent. Disciplinary Proceeding No. 2006005430901 Hearing Officer - SNB DEFAULT DECISION May 7, 2007 For Respondent's failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity. In light of the bar, no further sanctions are imposed for Respondent's failure to make required disclosures on his Form U4, in

    Reference 2006005430901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5134326

Other names1

Also known as1

DOUGLAS POOLE

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