Nex Systems
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David Hixon

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

    07/20/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Hixon, CRD No. 4707468, Respondent. Disciplinary Proceeding No. 2021070867702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David Hixon failed to provide a complete response to FINRA’s requests for information and documents made pursuant to FINRA Rule 8210 in July, August, and October 2021. As a result, Hixon violated FINRA Rules 8210 and 2010. RESPONDENT AND JURISDICTION 2. Hixon first registered with FINRA in 2006. Hixon, through his association with Morgan Stanley (CRD No. 149777) (“MS”), was registered with FINRA as a General Securities Representative and a General Securities Sales Supervisor from June 20, 2013 until March 17, 2021.

    Reference 2021070867702finra.orgdata-portal.finra.org

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