PETER ALEX GOUZOS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/23/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050021859 TO: Department of Enforcement NASD RE: Hunter Scott Financial, L.L.C., Respondent Broker-Dealer [CRD No. 45559] Peter Alex Gouzos, Respondent General Securities Principal [CRD No. 195966] Pursuant to Rule 9216 of the NASD Code of Procedure, Respondents 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. This AWC is submitted on the
Reference 2005002185901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1959666 |
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