Nex Systems
Type not stated

DAVID LAWRENCE WILLIAMS

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/12/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E062004020701 TO: Department of Enforcement NASD Regulation, Inc. RE: First Clearing, LLC Member Firm CRD No. 17344 David Lawrence Williams General Securities Principal CRD No. 727298 Pursuant to Rule 9216 of the National Association of Securities Dealers, Inc. ("NASD") Code of Procedure, First Clearing, LLC, and David Lawrence Williams ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a

    Reference E062004020701data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.