Nex Systems
Type not stated

ERIC COTT

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

    05/21/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090210297 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Eric Cott, Respondent General Securities Representative CRD No. 2421389 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Eric Cott ("Cott"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2009021029701finra.orgdata-portal.finra.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.