Nex Systems
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David Lau

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

    11/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORJTY LETTER OF ACCEPTANCE WAIVER AND CONSENT NO. 2021070917301 TO: Department of Enforcement Financial Industry Regulator Authority (FINRA) RE: David Lau (Respondent) Former General Securities Representative CRD No. 4567411 Pursuant to FINRA Rule 9216, Respondent David Lau submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2021070917301data-portal.finra.orgfinra.org

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