Nex Systems
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CHRISTOPHER H. DAUME

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

    12/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher H. Daume, CRD No. 3182948, Respondent. Disciplinary Proceeding No. 200812543301 Hearing Officer: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 30, 2009 INTRODUCTION Disciplinary Proceeding No. 2008012543301 was filed on August 26, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)(Complainant). Respondent Christopher H. Daume submitted

    Reference 2008012543301data-portal.finra.orgfinra.org

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