Nex Systems
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David Austin

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

    06/11/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066576401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Austin, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 6702519 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Austin submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020066576401data-portal.finra.orgfinra.org

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