Nex Systems
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DAVID ACOSTA

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

    02/02/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005003264801 TO: Department of Enforcement NASD RE: David Acosta, Respondent Investment Company and Variable Contracts Products Principal and Investment Company and Variable Contracts Products Representative [CRD No. 2497744] Pursuant to Rule 9216 of NASD Code of Procedure, David Acosta submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC

    Reference 2005003264801data-portal.finra.orgfinra.org

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