Nex Systems
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GREGORY SCOTT TAYLOR

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

    08/04/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Gregory Scott Taylor (CRD No. 1531557),Respondent. Disciplinary Proceeding No. 2014040523101 Hearing Officer: AHP ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 4,2016. INTRODUCTION Disciplinary Proceeding No. 2014040523101 was filed on April 11, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Gregory Scott Taylor

    04/11/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Gregory Scott Taylor (CRD No. 1531557), Respondent. DISCIPLINARY PROCEEDING No. 2014040523101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From January 2014 through at least February 2014, Gregory Scott Taylor ("Taylor"), while employed as a registered associate by FINRA regulated broker-dealer Morgan Stanley Smith Barney LLC (''Morgan Stanley," or the "Firm"), engaged

    Reference 2014040523101data-portal.finra.orgdata-portal.finra.orgfinra.org

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