Nex Systems
Type not stated

David Quentin Kendrick

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058397101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Quentin Kendrick, Respondent General Securities Representative CRD No. 4384666 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Quentin Kendrick ("Kendrick" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2018058397101data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.