Nex Systems
Type not stated

Dough LLC

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

    08/05/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021069517501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Dough LLC (Respondent) Member Firm CRD No. 148243 Pursuant to FINRA Rule 9216, Respondent Dough LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021069517501data-portal.finra.orgfinra.org

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