Nex Systems
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David Lynn Van Geffen

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

    08/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066115901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David Lynn Van Geffen (Respondent) General Securities Representative CRD No. 1890754 Pursuant to FINRA Rule 9216, Respondent David Lynn Van Geffen submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2020066115901data-portal.finra.orgfinra.org

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