Nex Systems
Type not stated

David Hall

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

    03/13/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062256701 T0: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Hall, Respondent Former Investment Company and Variable Contracts Products Representative CRD No. 5508890 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent David Hall submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement

    Reference 2019062256701data-portal.finra.orgfinra.org

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