Nex Systems
Type not stated

DAVID TORBATI

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

    10/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044411101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Torbati, Respondent General Securities Representative CRD No. 5029029 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David Torbati ("Respondent" or "Torbati") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

    Reference 2015044411101data-portal.finra.orgfinra.org

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