Nex Systems
Type not stated

DAVID TOD II

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/23/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: David Tod, II, Respondent General Securities Representative CRD No. 1004317 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, David Tod, R ("Tod"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2015045370601data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.