Nex Systems
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DAVID D. LEWIS

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

    10/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David D. Lewis (CRD No. 1004661), Respondent. DISCIPLINARY PROCEEDING No. 2011025633201 Hearing Officer-MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 12, 2015 INTRODUCTION Disciplinary Proceeding No. 2011025633201 was filed on January 16, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA'') ("Complainant"). Respondent David D. Lewis

    01/16/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David D. Lewis (CRD No. 1004661), Respondent. DISCIPLINARY PROCEEDING No. 2011025633201 V. COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David D. Lewis ("Respondent" or "Lewis") failed to establish, maintain, and enforce the supervisory system and written supervisory procedures ("WSPs") of former FINRA member firm First Washington Corporation ("First Washington" or the

    Reference 2011025633201data-portal.finra.orgdata-portal.finra.orgfinra.org

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