Nex Systems
Type not stated

DAVID I. CARTER

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    04/14/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David I. Carter, Respondent General Securities Representative [CRD No.4740584], Respondent. DISCIPLINARY PROCEEDING No. 2008013476001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. This matter involves a registered representative who exercised discretion in the account of a customer without receiving prior written

    08/30/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David I. Carter, Respondent General Securities Representative [CRDNo.4740584], Respondent. DISCIPLINARY PROCEEDING No. 2008013476001 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 30, 2011 INTRODUCTION Disciplinary Proceeding No. 2008013476001 was filed on April 14, 2011, by the Department

    Reference 2008013476001data-portal.finra.orgfinra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.