Nex Systems
Person

DAVID JOHNSON WHITING

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

    11/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014041060501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Johnson Whiting, Respondent CRD No. 6187362 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Johnson Whiting, submit 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 the

    Reference 2014041060501data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number6187362

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