Nex Systems
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Scott Gary Dolven

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

    12/12/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057877501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Scott Gary Dolven ("Dolven"), Respondent CRD No. 69678 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Scott Gary Dolven, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018057877501data-portal.finra.orgfinra.org

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Also known as1

Dolven

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