Nex Systems
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DAVID MCSWIGGEN

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

    12/17/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032540501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David McSwiggen, Respondent Registered Representative CRD No. 1077473 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, David McSwiggen ("McSwiggen or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2012032540501data-portal.finra.orgfinra.org

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