Nex Systems
Type not stated

DAVID A. ELLINGWOOD

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

    05/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046012801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David A. Ellingwood, (CRD No. 5534163) General Securities Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David A. Ellingwood ("Ellingwood" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2015046012801data-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.