Nex Systems
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DAVID M. GARRITY

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

    08/28/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050017487 TO: Department of Enforcement NASD RE: David M. Garrity, Respondent General Securities Representative and General Securities Principal CRD No. 1905680 Pursuant to Rule 9216 of NASD Code of Procedure, I, David M. Garriry ("Garrity"). submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement

    Reference 2005001748701data-portal.finra.orgfinra.org

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