Nex Systems
Type not stated

DAVID ALAN ROTH

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

    04/22/2005: LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C02050028 TO: Department of Enforcement NASD RE: David Alan Roth, General Securities Representative and Investment Company Products/Variable Contracts Principal CRD No. 2456284 Pursuant to Rule 9216 of NASD Code of Procedure, I, David Alan Roth ("Roth") submit 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 is submitted on the condition that, if

    Reference C02050028data-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.