Nex Systems
Type not stated

DOUGLAS R. SMITH

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    02/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS R. SMITH (CRD No. 1845966), Respondent. INTRODUCTION Disciplinary Proceeding No. 2008012211601 was filed on August 3, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Douglas R. Smith (Respondent or Smith) submitted an Offer of Settlement (Offer) dated

    08/03/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DOUGLAS R. SMITH (CRD No. 1845966), Respondent. DISCIPLINARY PROCEEDING NO. 2008012211601 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In or about December 2007, Respondent Douglas R. Smith, without the knowledge, authorization or consent of customer PD, caused the entire surrender and liquidation

    Reference 2008012211601data-portal.finra.orgdata-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.