Nex Systems
Type not stated

Brent Lott

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

    01/25/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brent Lott (CRD No. 1559744), Respondent. DISCIPLINARY PROCEEDING NO. 2013038124102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2013 through October 2013 (the “Relevant Period”), Respondent Brent Lott, a registered representative with LPL Financial LLC (“LPL” or the “Firm”), knowingly and substantially aided and abetted another individual, Steven Heinz, in

    04/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brent Lott CRD No. (1559744), Respondent. Disciplinary Proceeding No. 2013038124102 Hearing Officer: MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 9, 2018 INTRODUCTION Disciplinary Proceeding No. 2013038124102 was filed on January 25, 2018, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Brent Lott submitted

    Reference 2013038124102data-portal.finra.orgfinra.orgdata-portal.finra.org

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.