Nex Systems
Type not stated

ELLERD BRUCE TOMTE

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

    02/29/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS Department of Enforcement, Enforcement, v. Ellerd Bruce Tomte General Securities Representative (CRD No, 3195759) Respondent Disciplinary Proceeding No. E042004047801 Hearing Officer - SW ORDER ACCEPTING OFFER OF SETTLEMENT February 29, 2008 INTRODUCTION Disciplinary Proceeding No. E0420040478-01 was filed on

    Reference E042004047801data-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.