Nex Systems
Type not stated

DAVID FRANCIS MICKELSON

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

    04/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID FRANCIS MICKELSON, (CRD No. 2187596) Respondent. Disciplinary Proceeding No. 2011027481901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While he was associated with FINRA member firm NFP Securities, Inc. (NFP), Respondent David Francis Mickelson (Mickelson) created, promoted, and managed a Regulation D 506

    01/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID FRANCIS MICKELSON, (CRD No. 2187596) Respondent. Disciplinary Proceeding No. 2011027481901 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2011027481901 was filed on April 11, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Mickelson submitted an Offer of Settlement

    Reference 2011027481901data-portal.finra.orgdata-portal.finra.orgfinra.org

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