Nex Systems
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DAVID A. AARVIG

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

    09/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. David A. Aarvig (CRD No. 2639190), Respondent. DISCIPLINARY PROCEEDING No. 2014042544201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between June 2010 and September 4, 2014, David A. Aarvig was charged with three felonies in three different states, and willfully failed to report the felonies on his Form U4 on each occasion, in violation of Article V, Section 2(c) of FINRA's

    12/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. David A. Aarvig, CRD No. 2639190, Respondent. Disciplinary Proceeding No. 2014042544201 Hearing Officer: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 7, 2016 INTRODUCTION Disciplinary Proceeding No. 20140425442 was filed on September 27, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent David A. Aarvig submitted

    Reference 2014042544201data-portal.finra.orgdata-portal.finra.orgfinra.org

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