Nex Systems
Type not stated

DAVID C. HOCK

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

    10/15/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070074072-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Private Consulting Group, Inc., Respondent Member Firm CRD No. 45053 and Robert L. Keys, Respondent General Securities Representative General Securities Principal CRD No. 720689 and David C. Hock, Respondent General Securities Representative General Securities Principal Limited Principal - Financial and Operations Limited

    Reference 2007007407201finra.orgdata-portal.finra.org

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