Nex Systems
Type not stated

DAVID LAZARUS

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

    08/10/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 2004200001804 TO: Department of Market Regulation NASD RE: David Lazarus, Respondent Registered Representative CRD No. 2738374 Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD

    Reference 2004200001804data-portal.finra.orgfinra.org

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