Nex Systems
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DAVID E. LOCKLEAR

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

    11/09/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E8A2004040901 TO: Department of Enforcement NASD RE: David E. Locklear Registered Representative CRD No. 1881572 Pursuant, to Rule 9216 of the NASD Code of Procedure, David E. Locklear ("Locklear") 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 submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference E8A2004040901data-portal.finra.orgfinra.org

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