Nex Systems
Type not stated

DAVID A. 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

    05/09/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. DAVID A. JOHNSON (CRD No. 2407687), Respondent. Disciplinary Proceeding NO.C9A040061 Hearing Officer - SNB DEFAULT DECISION May 9, 2005 For violating Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity. For violating Rules 3040 and 2110, Respondent is ordered to pay restitution to CN and MB in the amount of $22,702.83 and $20,000, respectively, plus interest calculated pursuant to

    Reference C9A040061data-portal.finra.orgfinra.org

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