Nex Systems
Type not stated

DAVID THOMAS BARTOSIAK

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

    05/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010025866201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Thomas Bartosiak, Respondent Registered Representative CRD No. 4933741 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, David Thomas Bartosiak ("Bartosiak" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2010025866201data-portal.finra.orgfinra.org

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