Nex Systems
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Daniel Peter Daly

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

    12/31/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062521501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Daniel Peter Daly (Respondent) Former General Securities Representative CRD No. 1862120 Pursuant to FINRA Rule 9216, Respondent Daniel Peter Daly 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

    Reference 2019062521501data-portal.finra.orgfinra.org

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