Nex Systems
Type not stated

SCOTT HOWARD ALTMAN

Regulator action

United States. Named in 2 sanctions listings.

Screen this subject

Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/20/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033296802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott Howard Altman (''Altman"), Respondent General Securities Representative CRD No. 1017265 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2012033296802data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT HOWARD ALTMAN, (CRD No. 1017265) Respondent. Disciplinary Proceeding No. 2012033296801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On two dates in May 2012, Scott Howard Altman ("Altman" or "Respondent"), then a registered representative at Wells Fargo Advisors, LLC (“Wells Fargo" or the “Firm"), received wire transfer requests

    Reference 2012033296801finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.