Nex Systems
Type not stated

DAVID N. GARCIA

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

    10/27/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David N. Garcia, CRD No. 1335400, Respondent. Disciplinary Proceeding No. 2005000551401 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Respondent David N. Garcia ("Garcia" or "Respondent") was associated with a member of NASD from January 2001 until at least December 19, 2004. Respondent became associated as a result of submission of a Uniform Application for Securities

    Reference 2005000551401data-portal.finra.orgfinra.org

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