Nex Systems
Type not stated

DAVID ALAN OPPENHEIM

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

    08/30/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026346202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Alan Oppenheim, Respondent CRD No. 2187789 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Alan Oppenheim, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

    Reference 2011026346202finra.orgdata-portal.finra.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.