Nex Systems
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DENNIS BAILEY

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

    03/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. LANCE SCIDA (CRD NO. 4634133) and DENNIS BAILEY (CRD NO. 3060060), RESPONDENTS. Disciplinary Proceeding No. 2006005546007 Hearing Officer. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From June 2004 through April 2006 (the "relevant period"). Lance Scida made unsuitable recommendations to three customers and Dennis Bailey made outside

    09/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. LANCE SCIDA (CRD NO. 4634133) and DENNIS BAILEY (CRD NO. 3060060), RESPONDENTS. Disciplinary Proceeding No. 2006005546007 Hearing Officer - RSH ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 200600554007 was filed on March 17, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondents Lance Scida and Dennis

    Reference 2006005546007data-portal.finra.orgdata-portal.finra.orgfinra.org

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