Nex Systems
Type not stated

DAVID KEVIN RODDEY

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

    12/14/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120336740 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Kevin Roddey, Respondent General Securities Representative CRD No. 2527650 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Kevin Roddey ("Roddey"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2012033674001data-portal.finra.orgfinra.org

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