Nex Systems
Type not stated

DAVID L. DENNIS

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

    03/22/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. David L. Dennis (CRD No. 2451340) Respondent. Disciplinary Proceeding No. C05040076 Hearing Officer AWH Default Decision March 22, 2005 Formerly registered representative barred from association with any member firm in any capacity for engaging in private securities transactions, in violation of NASD Conduct Rules 3040 and 2110, and failing to respond to NASD requests for information, in violation of Procedural Rule 8210

    Reference C05040076data-portal.finra.orgfinra.org

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