Nex Systems
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DAVID GARCIA

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

    03/11/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070103141 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Garcia, Respondent Investment Company/Variable Contracts Representative CRD No. 4809280 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David Garcia [Garcia or Respondent] submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2007010314101finra.orgdata-portal.finra.org

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