Nex Systems
Type not stated

DAVID P. SMITHEY

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

    10/06/2006: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David P. Smithey, CRD No. 4137601 Respondent. Disciplinary Proceeding No. E0220040502-01 Hearing Officer DRP ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 6, 2006 INTRODUCTION Disciplinary Proceeding No. E0220040502-01 was filed on March 8, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent David P. Smithey submitted an Offer

    Reference E022004050201finra.orgdata-portal.finra.org

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