Nex Systems
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GREG SCOTT SCHAEFER

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

    04/09/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GREG SCOTT SCHAEFER (CRD No. 1939626), Respondent. Disciplinary Proceeding No. 20080120347-01 Hearing Officer - MAD DEFAULT DECISION April 9, 2010 Respondent violated: (1) Conduct Rules 3011 and 2110 for failing to implement independent AML testing; (2) Conduct Rule 2110 for creating and submitting inaccurate compliance at

    Reference 2008012034701data-portal.finra.orgfinra.org

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