Nex Systems
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DAVID LAIFER

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

    11/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DAVID LAIFER (CRD NO. 300673), RESPONDENT. Disciplinary Proceeding No. 2007010941701 Hearing Officer COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On or about April 12, 2006, Oppenheimer & Co. (the "Firm" or "Oppenheimer") forbade David Laifer ("Laifer") to enter further buy orders for shares of a thinly-traded pink sheet penny stock, Visual Industries, Inc. ("VUAL"), due to the

    05/17/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Laifer, CRD No. 300673, Respondent. Disciplinary Proceeding No. 2007010941701 Hearing Officer Andrew H. Perkins ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 17, 2010 INTRODUCTION Disciplinary Proceeding No. 2007010941701 was filed on November 17, 2009, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent David Laifer submitted an

    Reference 2007010941701data-portal.finra.orgdata-portal.finra.orgfinra.org

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