Nex Systems
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David James Williams

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

    08/05/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020065559401 Department of Enforcement Financial Industry Regulatory Authority (FINRA) David James Williams (Respondent) Former Investment Company Shares and Variable Contracts Representative CRD No. 5899662 Pursuant to FINRA Rule 9216, Respondent David James Williams 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

    Reference 2020065559401finra.orgdata-portal.finra.org

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