Nex Systems
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Gordon Scott Wallace

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

    04/11/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071850601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Gordon Scott Wallace (Respondent) General Securities Representative CRD No. 1905279 Pursuant to FINRA Rule 9216, Respondent Gordon Scott Wallace submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021071850601data-portal.finra.orgfinra.org

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