SCOTT HOWARD ROSS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/08/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT HOWARD ROSS (CRD No. 2399201), Respondent. Disciplinary Proceeding No. ELI2004022002 Hearing Officer COMPLAINT Upon information and belief, Complainant, the Department of Enforcement, alleges the following: JURISDICTION 1. Respondent Scott Howard Ross ("Ross" or "Respondent"), first became registered with NASD as a General Securities Representative ("GSR") on or about December 15, 1993, through his association with an NASD
09/26/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SCOTT HOWARD ROSS (CRD No. 2399201), Respondent. Disciplinary Proceeding No. ELI20040220-02 Hearing Officer -- RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 26, 2005 INTRODUCTION DiscipHnary Proceeding No. ELI020040220-02 was filed on August 8, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent Scott Howard Ross ("Ross') submitted an Offer of Settlement ("Offer") to Complainant on September 20, 2005.
Reference ELI2004022002data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2399201 |
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