Nex Systems
Type not stated

DAVID JOSEPH COTTAM

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

    09/21/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. TIMOTHY BEHANY, CRD No. 2878998; EDWARD M. VANGROUW, CRD NO. 1032559; -AND- DAVID JOSEPH COTTAM, CRD No. 2716994, RESPONDENTS. DISCIPLINARY PROCEEDING NO. E9B2003026301 HEARING OFFICER HEIFETZ ORDER ACCEPTING OFFER OF SETTLEMENT Date; September 21, 2006 INTRODUCTION Disciplinary Proceeding No. E9B2003026301 filed by it was on February 14, 2006 by the Department of Enforcement by NASD ("Complainant"). Respondent David Joseph Cottam

    Reference E9B2003026301data-portal.finra.orgfinra.org

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