Nex Systems
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David Leroy Johnson

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

    09/14/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060527701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Leroy Johnson, Respondent Former General Securities Representative CRD No. 3147633 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Leroy Johnson (Johnson or Respondent) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018060527701data-portal.finra.orgfinra.org

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