Nex Systems
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DAVID CHARLES VOGEL

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

    08/25/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI20040278-01 TO: Department of Enforcement NASD RE: David Charles Vogel, Respondent [Investment Company and Variable Contracts Products Representative] [CRD No. 2985902] Pursuant to Rule 9216 of NASD code of Procedure, Respondent David Charles Vogel ("Vogel" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is

    Reference ELI2004027801data-portal.finra.orgfinra.org

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