Nex Systems
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David S. Lerner

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

    07/25/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071945201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: David S. Lerner (Respondent) General Securities Representative and Investment Banking Representative CRD No. 1883553 Pursuant to FINRA Rule 9216, Respondent David S. Lerner submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021071945201finra.orgdata-portal.finra.org

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