Nex Systems
Person

SCOTT ALLAN SHAPIRO

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

    09/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT ALLAN SHAPIRO (CRD No. 2687108), Respondent. DISCIPLINARY PROCEEDING NO. 2007009179401 Hearing Officer - Maureen A. Delaney ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 21,2009 INTRODUCTION Disciplinary Proceeding No. 2007009179401 was filed on June 5, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Scott Alan

    Reference 2007009179401finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number2687108

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