Nex Systems
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DAVID L. ROBINSON

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

    05/01/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID L. ROBINSON (CRD No. 2878944), Respondent. Disciplinary Proceeding No.20050009671-01 DEFAULT DECISION Hearing Officer - SW Dated: May 1,2006 Respondent is suspended for one year from associating with any NASD member in all capacities and fined $5,000 for violating Article V, Section 2(c) of the NASD By-Laws, NASD Conduct Rule 2110, and IM-10000-1 by willfully failing to amend his Form U-4.

    Reference 2005000967101data-portal.finra.orgfinra.org

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