Nex Systems
Type not stated

DAVID LOWENTHAL

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

    12/29/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012033291202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FNRA") RE: David Lowenthal, Respondent General Securities Representative CRD No. 1609263 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2012033291202data-portal.finra.orgfinra.org

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