Nex Systems
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DENNIS LEE GROSSMAN

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

    09/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DENNIS LEE GROSSMAN (CRD NO. 870170), Respondent. Disciplinary Proceeding No. 2008011672301 Hearing Officer - MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 15, 2011 INTRODUCTION Disciplinary Proceeding No. 2008031672301 was filed on June 6, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)

    Reference 2008011672301data-portal.finra.orgfinra.org

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