Nex Systems
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David Randall Lockey

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

    03/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAVID RANDALL LOCKEY (CRD No. 3095863), Respondent. Disciplinary Proceeding No. 2013034954001 Hearing Officer: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from May 2012 through March 2014 ("Relevant Period"), registered representative David Randall Lockey (''Lockey"), while associated with FINRA member firm SWS Financial Services, Inc.

    10/07/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Randall Lockey (CRD No. 3095863) Respondent. Disciplinary Proceeding No. 2013034954001 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 7, 2016 INTRODUCTION Disciplinary Proceeding No. 2013034954001 was filed on March 30,2016, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA") ("Complainant"). Respondent David Randall Locke

    Reference 2013034954001data-portal.finra.orgdata-portal.finra.orgfinra.org

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