Nex Systems
Type not stated

DAVID PARKER 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

    03/08/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID PARKER SMITHEY (CRD No. 4137601), Respondent. Disciplinary Proceeding No. E0220040502-01 Hearing Officer COMPLAINT The Department of Enforcement alleges as follows: SUMMARY AND NATURE OF THE ACTION 1. Between February 2001 and October 2002, David Parker Smithey ("Smithey"), while serving on the Board of Directors of NASD member firm Tradeportal Security

    Reference E022004050201finra.orgdata-portal.finra.org

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