Nex Systems
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DANIEL WALSH

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

    03/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090210296 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: 'Daniel Walsh, Respondent Former General Securities Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel Walsh ("Walsh"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2009021029602finra.orgdata-portal.finra.org

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