Nex Systems
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CHAD MARION DAVID STEPHENSON

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

    11/02/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050022243-01 TO; Department of Enforcement NASD RE: Chad Marion David Stephenson CRD No. 3085358 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging violations based on the same

    Reference 2005002224301data-portal.finra.orgfinra.org

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