Nex Systems
Type not stated

DAVID LEE SHAFRANEK

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

    12/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040781601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Lee Shafranek, Respondent Registered Representative CRD No. 2919901 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Lee Shafranek, submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

    Reference 2014040781601data-portal.finra.orgfinra.org

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