Nex Systems
Type not stated

DANIEL G. SHARP

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    10/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Daniel G. Sharp (CRD No. 2194385), Respondent. DISCIPLINARY PROCEEDING No. 2011029681602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From on or about July 15, 2011 to on or about September 9, 2011, (the "Relevant Period"), while associated with member firm

    03/06/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DANIEL G. SHARP (CRD No. 2194385), Respondent. Disciplinary Proceeding No. 2011029681602 Hearing Officer - Andrew H. Perkins DEFAULT DECISION March 6, 2014 Respondent is suspended in all capacities for two years and fined $12,587.56 for recommending and effecting unsuitable switches from Class A shares of mutual funds to shares of unit investment trusts, in violation of NASD Rule

    Reference 2011029681602data-portal.finra.orgdata-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.