Nex Systems
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DAVID KEITH GARROW

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

    09/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038871702 TO: Department of Enforcement Financial industry Regulatory Authority ("FINRA") RE: David Keith Garrow, Respondent Investment Company Products/Variable Contracts Representative CRD No. 2885649 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Keith Garrow ("Garrow"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2013038871702data-portal.finra.orgfinra.org

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