Nex Systems
Type not stated

DAVID M. PIAZZA

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

    03/20/2009: FINANCIAL INDUSTRY REGULATORY AUTHOITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID M. PIAZZA (CRD No. 4347282), Respondent. DISCIPLINARY PROCEEDING No.2008012835301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent David M. Piazza failed to observe high standards of cornmercial honor and just and equitable principles of trade in connection with his handling of

    07/27/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. DAVID M. PIAZZA (CRD No. 4347282), Respondent. DISCIPLINARY PROCEEDING No. 2008012835301 HEARING OFFICER: ANDREW H. PERKINS ORDER ACCEPTING OFFER OF SETTLEMENT BY DAVID M. PIAZZA INTRODUCTION Disciplinary Proceeding No. 2008012835301 was filed on March 20,2009, by the Department of Enforcement of the Financial Industry

    Reference 2008012835301data-portal.finra.orgdata-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.