Nex Systems
Type not stated

DAVID E. SCHWARZ

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

    06/15/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000523-02 TO: Department of Market Regulation NASD RE: Trillium Trading LLC, Respondent Broker-Dealer CRD No. 120064 Cary S. Grill, Respondent Registered Representative CRD No. 2480195 David B. Lazarus, Respondent Registered Representative CRD No. 2738374, and David E. Schwarz, Respondent Registered Representative

    Reference 2005000052302data-portal.finra.orgfinra.org

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