Nex Systems
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DAVID RANDALL PAUL

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

    11/21/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070111158-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Randall Paul, Respondent Investment Company Products/Variable Contracts Representative CRD No. 4438776 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, David Randall Paul, Respondent, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2007011115801data-portal.finra.orgfinra.org

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