Nex Systems
Person

DAVID WILLIAM DUBE

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

    11/11/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT Case No. 2008011713801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David William Dube (CRD No. 3041983) Pursuant to Rule 9216 of FINRA's Code of Procedure, Respondent David William Dube ("Dube" or "Respondent") submits this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on

    Reference 2008011713801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number3041983

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