Nex Systems
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DAVID G. RINCON

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

    09/21/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.# 20050010905-01 TO: Department of Enforcement NASD RE: David Q. Rincon("Rincon") (CRD No. 4598476) Pursuant to Rule 9216 of NASD Code of Procedure, David G. Rincon ("Rincon") 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.

    Reference 2005001090501finra.orgdata-portal.finra.org

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