Nex Systems
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DANIEL KEITH POLAND

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

    08/22/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003207201 TO: Department of Enforcement NASD RE: Daniel Keith Poland General Securities Representative CRD No. 1230652 Pursuant to Rule 9216 of NASD Code of Procedure, Daniel Keith Poland ("Poland" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described In Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring

    Reference 2005003207201finra.orgdata-portal.finra.org

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