Nex Systems
Type not stated

ALAN DAVID GODDARD JR.

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

    10/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2009016157802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alan David Goddard, Jr.. Respondent General Securities Representative CRD No. 3019681 Pursuant to FINRA Rule 92 16 of FINRA's Code of Procedure. I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2009016157802data-portal.finra.orgfinra.org

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.