Nex Systems
Person

DAVID ALAN LAVINE

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

    01/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014043027001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Alan Lavine, Respondent General Securities Representative CRD No. 4895654 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Alan Lavine, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2014043027001data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4895654

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