Nex Systems
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GEOFFREY LEIGH DENT

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

    02/12/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GEOFFREY LEIGH DENT (CRD NO. 65603), Respondent. DISCIPLINARY PROCEEDING No. 2007010516501 HEARING OFFICER - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: Feb. 12, 2010 INTRODUCTION Disciplinary Proceeding No. 2007010516501 was filed on May 29, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Geoffrey Leigh Dent submitted an

    Reference 2007010516501data-portal.finra.orgfinra.org

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