Nex Systems
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DENNIS MARK ADAM MERRITT

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

    06/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Dennis Mark Adam Merritt. CRD No. 1748115, Respondent. Disciplinary Proceeding No. 2013036962201 Hearing Officer RS ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 14, 2016 INTRODUCTION Disciplinary Proceeding No. 2013036962201 was filed on March 29, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Dennis Mark Adam

    03/29/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. DENNIS MARK ADAM MERRITT, CRD No. 1748115, RESPONDENT. DISCIPLINARY PROCEEDING No. 2013036962201 COMPLAINT The Department of Enforcement alleges: INTRODUCTION 1. In August and September 2011, Respondent Dennis Mark Adam Merritt ("Merritt") participated in three private securities transactions in which three of his customers invested a total of $115,000 in a company called SavvyPhone, LLC

    Reference 2013036962201data-portal.finra.orgdata-portal.finra.orgfinra.org

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