Nex Systems
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DALE SHIELDS

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

    01/07/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. DALE SHIELDS Non-Registered Representative (CRD No. 5101892) Respondent Disciplinary Proceeding No. 20060055066-01 Upon information and belief, Complainant alleges as follows: SUMMARY 1. In or about February 2006, Dale Shields began employment with American Family Securities LLC ("Member"), a member of FINRA, and executed a Form U4, thereby submitting himself to the jurisdiction of FINRA. In or

    Reference 2006005506601data-portal.finra.orgfinra.org

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