Nex Systems
Type not stated

DAVID FOSTER PENDERGAST

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

    02/12/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032719801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Foster Pendergast (CRD No. 1935180), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Foster Pendergast ("Pendergast" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2012032719801data-portal.finra.orgfinra.org

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