Nex Systems
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Craig Scott Capital LLC

Regulator action

United States. Named in 3 sanctions listings.

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Sanctions and listings3

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant. V. CRAIG SCOTT CAPITAL, LLC (CRD No. 155924), CRAIG SCOTT TADDONIO (CRD No. 4773787), and BRENT MORGAN PORGES (CRD No. 4002626), Respondents. DISCIPLINARY PROCEEDING No. 20150448235-01 CORRECTED COMPLAINT The Department of Enforcement alleges: SUMMARY 1. For nearly three years, from the day the firm opened its doors in January 2012 through at least December 2014 (the "Relevant Period"),

    Reference 2015044823501data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130360051-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Craig Scott Capital, LLC, Respondent Broker-Dealer CRD No. 155924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Craig Scott Capital, LLC (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013036005101data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038744201 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Craig Scott Capital, LLC, Respondent Broker-Dealer CRD No. 155924 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Craig Scott Capital, LLC (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2013038744201data-portal.finra.orgfinra.org

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