Nex Systems
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DANIEL JOSEPH ROBERTS

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

    12/05/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008016201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Joseph Roberts, Respondent Registered Representative CRD No. 4588649 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Daniel Joseph Roberts ("Roberts"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2007008016201data-portal.finra.orgfinra.org

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