Nex Systems
Person

DAVID LAWRENCE GABAI

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

    09/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090174025-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: David Lawrence Gabai, Respondent Registered Representative CRD No. 1423723 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Lawrence Gabai ("Gabai" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009017402501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1423723

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