Nex Systems
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DAVID LEE CLARK

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

    12/22/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004838201 TO: Department of Enforcement NASD RE: David Lee Clark, Respondent CRD No. 3052085 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 will not bring any future actions against me alleging violations based on the same

    Reference 2006004838201finra.orgdata-portal.finra.org

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