Nex Systems
Person

DOUGLAS G DOSENBERG

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

    11/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS G. DOSENBERG (CRD No. 5631343), Respondent. Disciplinary Proceeding No. 2009017124601 Hearing Officer - MC DEFAULT DECISION November 10, 2010 Respondent violated FINRA Conduct Rule 2010 and Article V, Section 2 of FINRA's By-Laws by willfully failing to disclose his criminal history on his Form U4. Respondent also violated Conduct Rule 2010 and Procedural Rule 8210 by failing ro respond to

    Reference 2009017124601finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5631343

Other names1

Also known as1

DOUGLAS G. DOSENBERG

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