Nex Systems
Type not stated

DANIEL F. SULLIVAN

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

    01/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034701501 TO: Department of Financial Industry Regulatory Authority ("FINRA") RE: Daniel F. Sullivan (CRD No. 2312207), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Daniel F. Sullivan ("Sullivan" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2012034701501finra.orgdata-portal.finra.org

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