Nex Systems
Person

DAVID NATHANIEL GARCIA

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/12/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID NATHANIEL GARCIA (CRD No. 1335400), Respondent. Disciplinary Proceeding No. 2005000551401 Hearing Officer - DRP DEFAULT DECISION June 12, 2006 Respondent is barred from associating with any NASD member firm in any capacity for improper use of customer funds, in violation of NASD Conduct Rule 2110, and for failing to respond to NASD staff requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule

    Reference 2005000551401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1335400

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.