Nex Systems
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Donald Robert Pollard

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

    01/08/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019064685901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Donald Robert Pollard (Respondent) General Securities Representative and General Securities Principal CRD No. 2181631 Pursuant to FINRA Rule 9216, Respondent Donald Robert Pollard submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019064685901data-portal.finra.orgfinra.org

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