Nex Systems
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David Manor

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

    09/23/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Manor (CRD No. 6033220), Respondent. Disciplinary Proceeding No. 2017056648801 Hearing Officer-MJD ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 23, 2019 INTRODUCTION Disciplinary Proceeding No. 2017056648801 was filed on April 16, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant).

    04/16/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Manor (CRD No. 6033220), Respondent. DISCIPLINARY PROCEEDING No. 2017056648801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February and November 2017 ("Relevant Period"), while associated with FINRA member firm, Wells Fargo Clearing Services, LLC ("Wells Fargo" or "Firm"), Respondent David Manor participated in an

    Reference 2017056648801data-portal.finra.orgdata-portal.finra.orgfinra.org

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