Nex Systems
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DANIEL JAMES SMITH

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

    01/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013037842602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel James Smith, Respondent CRD No. 708743 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Daniel James Smith ("Smith" or "Respondent") 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

    Reference 2013037842602data-portal.finra.orgfinra.org

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