Nex Systems
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David Halfen

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

    10/30/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022073421502 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Halfen (Respondent) Former Investment Company and Variable Contracts Products Representative and Former Investment Banking Representative CRD No. 6944547 Pursuant to FINRA Rule 9216, Respondent David Halfen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2022073421502data-portal.finra.orgfinra.org

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