Nex Systems
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David Daniel Lopez

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

    05/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019060701001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Daniel Lopez (Respondent) Former General Securities Principal CRD No. 2667397 Pursuant to FINRA Rule 9216, Respondent David Daniel Lopez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019060701001finra.orgdata-portal.finra.org

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