Nex Systems
Type not stated

DORAN LYNN FOLLIS

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

    08/08/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022297501 To: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") Re: Doran Lynn Follis, Respondent General Securities Representative CRD No. 1682642 Pursuant to FINRA Rule 9216 of FINRA Code of Procedure, Respondent Doran Lynn Follis submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2010022297501finra.orgdata-portal.finra.org

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