Nex Systems
Type not stated

DAVID CHRIS RICE

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

    10/18/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Chris Rice Registered Representative CRD No. 1855792 Respondent. Disciplinary Proceeding No. E062004031301 Hearing Officer AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 18, 2007 INTRODUCTION Disciplinary Proceeding No. E062004031301 was filed on March 8, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA").

    Reference E062004031301data-portal.finra.orgfinra.org

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