Nex Systems
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CHARLES WILLIAM DOLLER III

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

    12/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. CHARLES WILLIAM DOLLER III, CRD No. 2389795 Respondent. Disciplinary Proceeding No. 2012033522902 Hearing Officer RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: INTRODUCTION Disciplinary Proceeding No. 2012033522902 was filed on November 14, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent, Charles William Doller III

    Reference 2012033522902data-portal.finra.orgfinra.org

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