Nex Systems
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DAVID O. LINDNER

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

    11/28/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. KIRLIN SECURITIES, INC. (CRD No. 21210), ANTHONY J. KIRINCIC (CRD No. 1499511), DAVID O. LINDNER (CRD No. 1305774), ANDREW J. ISRAEL (CRD No. 41980476), Respondents. Disciplinary Proceeding No. EAF0400300001 Extended Hearing Panel Decision Hearing Officer - SNB November 28, 2007 Respondent Kirincic engaged in market manipulation, in violation of Section 10(b) of the Securities Exchange Act of 1934,

    02/25/2009: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Kirlin'Securities, Inc. Syosset, NY, and Anthony J. Kirincic Dix Hills, NY, and David 0. Lindner Bellmore, NY, and Andrew J. Israel Rockaway Park, NY, Respondents. DECISION Complaint No. EAF0400300001 February 25, 2009 Respondents Kirlin Securities, Inc., Kirincic, and Israel engaged in market manipulation; respondent Krincic falsified customer signatures; and

    Reference EAF0400300001data-portal.finra.orgfinra.orgdata-portal.finra.org

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