Nex Systems
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DAVID ALEXANDER ROURKE SR.

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

    08/19/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E0420040097-01 To: Department of Enforcement NASD Re: David Alexander Rourke, Sr. Investment Company/Variable Contracts Representative and Direct Participation Programs Representative (CRD No. 2089364) Pursuant to Rule 9216 of the NASD Code of Procedure, I, David Alexander Rourke, Sr. (Rourke), 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

    Reference E042004009701data-portal.finra.orgfinra.org

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