Nex Systems
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DAVID E. HAEFFELE

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

    09/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DAVID E. HAEFFELE (CRD No. 1449276), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2009019590502 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. David E. Haeffele ("Respondent"), while registered with FINRA member cfd Investments, Inc. ("cfd" or *the Firm''),

    09/24/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT v. DAVID E. HAEFFELE (CRD No. 1449276), RESPONDENT. DISCIPLINARY PROCEEDING No. 2009019590502 2009019590502HEARING OFFICER - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 24, 2012 INTRODUCTION Disciplinary Proceeding No. 2009019590502 was filed on September 8, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent David E.

    Reference 2009019590502data-portal.finra.orgfinra.orgdata-portal.finra.org

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