Nex Systems
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DANIEL CARLOS LACEY

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

    07/21/2006: NASD OFFICE OF HEARING OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Carlos Lacey CRD No. 4312702 Respondents Disciplinary Proceeding No. E062004000201 Hearing Officer: DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 21, 2006 INTRODUCTION Disciplinary Proceeding No. E062004000201 was filed on February 8, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Daniel Carlos Lacey submitted an Offer of Settlement ("Offer") to Complainant on July 21, 2006.

    Reference E062004000201finra.orgdata-portal.finra.org

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