Nex Systems
Person

DAVID MATTHEW CHASE

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

    07/27/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010021866301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Matthew Chase, Respondent Investment Company Products/Variable Contracts Representative CRD No. 5469025 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Matthew Chase submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2010021866301data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5469025

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