Nex Systems
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Garrett Scott Neubart

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

    08/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062347901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Garrett Scott Neubart (Respondent) General Securities Representative CRD No. 2558442 Pursuant to FINRA Rule 9216, Respondent Garrett Neubart submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that

    Reference 2019062347901data-portal.finra.orgfinra.org

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