Nex Systems
Type not stated

DAVID GOLDMAN

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

    07/09/2007: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. DAVID GOLDMAN General Securities Representative Respondent. Disciplinary Proceeding No. 2006005586701 Hearing Officer: Alan W. Heifetz ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 9, 2007 INTRODUCTION Disciplinary Proceeding No. 20060055867 was filed on December 29, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent David Goldman submitted an Offer of Settlement ("Offer") to Complainant on or about June 28,

    Reference 2006005586701data-portal.finra.orgfinra.org

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