Nex Systems
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DANIEL ALLEN ABBOTT

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

    07/21/2009: FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010239501 TO: Department of Enforcement FINRA RE: Daniel Allen Abbott, Respondent CRD No. 3003452 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Daniel Allen Abbott ("Abbott''), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against me

    Reference 2007010239501finra.orgdata-portal.finra.org

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