Nex Systems
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FLORENCE S. POLLARD

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

    12/19/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Florence S. Pollard, La Jolla, CA, Respondent. DECISION ORDERING REMAND Complaint No. CAF030042 Dated: December 29, 2005 The Hearing Panel granted respondent's motion for summary disposition, finding that Enforcement failed to establish that respondent violated NASD Conduct Rules 2460 and 2110 by a preponderance of the evidence. Held, findings reversed and case remanded to determine appropriate

    Reference CAF030042finra.orgdata-portal.finra.org

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