Nex Systems
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DAVID JOHN ROSSIGNOL

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

    04/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C11050010 TO: Department of Enforcement NASD RE: David John Rossignol General Securities Principal CRD No. 2231527 Pursuant to Rule 9216 of NASD Code of Procedure, David John Rossignol ("Rossignol") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

    Reference C11050010finra.orgdata-portal.finra.org

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