Nex Systems
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DOUGLAS MCGREGOR

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

    06/13/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035123701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Douglas McGregor (CRD No. 1611144), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Douglas McGregor (“McGregor" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013035123701data-portal.finra.orgfinra.org

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