Nex Systems
Type not stated

DAVID SETH BARD

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

    05/04/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2007011294101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Seth Bard, Respondent General Securities Principal CRD No. 2430552 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2007011294101data-portal.finra.orgfinra.org

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