Nex Systems
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DAVID M. PERHAM

Regulator action

United States. Named in 2 sanctions listings.

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Sanctions and listings2

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20110292860 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David M. Perhmn CRD No. 1422512 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Perham, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2011029286002data-portal.finra.orgfinra.org

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/31/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 20110292860 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David M. Perham CRD No. 1422512 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Perham, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2011029286001finra.orgdata-portal.finra.org

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