Nex Systems
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DAVID PAUL ELLER

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

    03/08/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. DAVID PAUL ELLER (CRD No. 2464854), RESPONDENT. DISCIPLINARY PROCEEDING No. 2013039114102 HEARING OFFICER - MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: March 8, 2016 INTRODUCTION Disciplinary Proceeding No. 2013039114102 was filed on November 12, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority

    11/12/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. David Paul Eller (CRD No. 2464854), Respondent. DISCIPLINARY PROCEEDING No. 2013039114102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 20, 2012 through April 19, 2013, Respondent Eller was associated with WTS Proprietary Trading Group LLC ("WTS") as a proprietary trader. When he was hired by Wells Fargo Advisors LLC ("Wells Fargo") on January 22, 2013 for the

    Reference 2013039114102data-portal.finra.orgdata-portal.finra.orgfinra.org

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