Nex Systems
Person

STEVEN ALAN MARKOWITZ

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    07/26/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Steven Alan Markowitz (CRD No. 1299315), Respondent. Disciplinary Proceeding No. 20070113664-03 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT July 26, 2011 INTRODUCTION Disciplinary Proceeding No. 20070113664-03 was filed on April 19, 2010, by the Department of Market Regulation of the Financial Industry Regulatory Authority("FINRA" or "Complainant").

    Reference 2007011366403data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1299315

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.