Nex Systems
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David B. Test

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

    01/19/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2021072263801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David B. Test (Respondent) General Securities Representative, Investment Company and Variable Contracts Products Representative, and Variable Contracts Products Principal CRD No. 2341570 Pursuant to FINRA Rule 9216, Respondent David B. Test submits 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, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2021072263801finra.orgdata-portal.finra.org

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