Nex Systems
Type not stated

ALBERT JAMES POLIAK

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

    10/07/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complaint, v. DAWSON JAMES SECURITIES, INC. (BD No. 130645), ALBERT JAMES POLIAK (CRD No. 1270681), DOUGLAS FULTON KAISER (CRD No. 1674570), WILLIAM ARTHUR FOX (CRD No. 1332915), Respondents Disciplinary Proceeding No. 20090161585 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 7, 2011

    Reference 2009016158501data-portal.finra.orgfinra.org

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