Nex Systems
Type not stated

DAVID PAUL SPANGLER

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

    10/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040091001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Paul Spangler (CRD No. 3077874), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Paul Spangler (''Spangler" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2014040091001data-portal.finra.orgfinra.org

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