Nex Systems
Type not stated

ALFRED DAVID HOLLAND

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

    06/13/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009020334001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alfred David Holland, Respondent Registered Principal (CRD No. 1576896) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alfred David Holland, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the

    Reference 2009020334001data-portal.finra.orgfinra.org

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