Nex Systems
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David R. Oakes

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

    03/11/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David R. Oakes CRD No. 1465154, Respondent. Disciplinary Proceeding No. 2018057755201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between August 2016 and December 2017 (the “Relevant Period”), David Oakes structured three cash deposits and six cash withdrawals totaling $61,500 for the purpose of attempting to evade federal reporting requirements.

    11/09/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David R. Oakes CRD No. 1465154, Respondent. Disciplinary Proceeding No. 2018057755201 Hearing Officer - DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: November 9, 2020 INTRODUCTION Disciplinary Proceeding No. 2018057755201 was filed on March 11, 2020, by the

    Reference 2018057755201data-portal.finra.orgdata-portal.finra.orgfinra.org

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