Nex Systems
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DANIEL A. BUCHALTER

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

    10/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004288601 TO: Department of Enforcement NASD RE: Daniel A. Buchatter, Respondent CRD No. 1891292 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 2006004288601data-portal.finra.orgfinra.org

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