DAVID W. PARSONS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/28/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DUPONT SECURITIES GROUP INC. (BD No. 42305), and DAVID W. PARSONS (CRD No. 2963654), Respondents. Disciplinary Proceeding No. CAF040068 Hearing Officer - SNB DEFAULT DECISION September 28, 2005 For violating Section 10(b) of the Exchange Act, SEC Rule 10b-5, and Conduct Rules 2110 and 2120 in connection with approval of a fraudulent press release, and for violating Conduct Rule 2110 in connection with the sale of
Reference CAF040068data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2963654

Other names1

Also known as1

DAVID WAYNE PARSONS

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