Nex Systems
Type not stated

CARLISS DONALD DYKES

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

    05/09/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CARLISS DONALD DYKES GENERAL SECURITIES PRINCIPAL CRD No. 4103565 RESPONDENT. DISCIPLINARY PROCEEDS No. E062004029602 HEARING OFFICER: SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 9, 2007 INTRODUCTION Disciplinary Proceeding No. E062004029602 was filed on November 27, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Carliss Donald Dykes submitted an offer of Settlement ("Offer") to

    Reference E062004029602data-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.