Nex Systems
Type not stated

DANIEL KOFFMAN

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/17/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002232303 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Koffman (CRD No. 2691737) Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Daniel Koffman, submit 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

    Reference 2005002232303data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.