Nex Systems
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David Andrew Herlicka

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

    05/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032749001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: David Andrew Herlicka, Respondent CRD No. 2627602 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Andrew Herlicka (“Respondent” or "Herlicka") submits this Letter of Acceptance, Waiver and Consent (“AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2012032749001finra.orgdata-portal.finra.org

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