Nex Systems
Type not stated

DAVID A. KENNEDY

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

    04/17/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID A. KENNEDY (CRD No. 5053081), Respondent. Disciplinary Proceeding No.20090192761-05 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 17, 2012 Respondent is barred from associating with any FINRA-registered firm in any capacity for cheating on Firm Element continuing education proficiency tests, in violation of FINRA Conduct Rule 2010.

    Reference 2009019276105finra.orgdata-portal.finra.org

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