Nex Systems
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DANIEL JOSEPH SCHNEIDER

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

    01/31/2008: FINRA LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070094420 TO: Department of Enforcement FINRA RE: Daniel Joseph Schneider Registered Representative CRD No. 2753359 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Daniel Joseph Schneider ("Schneider") 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 submitted on the condition that, if accepted, FINRA will not bring any future

    Reference 2007009442001finra.orgdata-portal.finra.org

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