Nex Systems
Type not stated

DAVID CARLSON

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

    10/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090182157-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Carlson, Respondent General Securities Representative CRD No. 1071647 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Carbon ("Respondent" or "Carlson"), submit this Letter of Acceptance, Waiver and Consort ("AWC") for the purpose of proposing a settlement

    Reference 2009018215701data-portal.finra.orgfinra.org

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