Nex Systems
Type not stated

DAVID M. NELSON

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/02/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050010082-01 To: Department of Enforcement NASD Re: David M. Nelson Investment Company/Variable Contracts Representative (CRD No. 4603121) Pursuant to Rule 9216 of the NASD Code of Procedure, I, David M. Nelson (Nelson), submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition

    Reference 2005001008201data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.