Nex Systems
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DANIEL IRVIN MCCOURT

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

    01/20/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Irvin McCourt (CRD No. 1336258), Respondent. DISCIPLINARY PROCEEDING No. 2012030670402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel McCourt ("McCourt"), while registered with a FINRA member firm, participated in private securities transactions without providing prior written notice to his member firm. 2. McCourt provided false information

    02/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Daniel Irvin McCourt (CRD No. 1336258), Respondent. DISCIPLINARY PROCEEDING NO. 2012030670402 Hearing Officer-KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: February 8, 2016 INTRODUCTION Disciplinary Proceeding No. 2012030670402 was filed on January 20, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant").

    Reference 2012030670402finra.orgdata-portal.finra.orgdata-portal.finra.org

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