Nex Systems
Type not stated

DANIEL P. JOHNSON

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

    12/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120337219 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel P. Johnson, Respondent Former General Securities Representative CRD No. 5416012 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Daniel P. Johnson ("Johnson") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2012033721901data-portal.finra.orgfinra.org

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