Nex Systems
Type not stated

DAVID TRENDE

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

    10/04/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID TRENDE (CRD No. 2725055), Respondent. Disciplinary Proceeding No. 2007008935010 Hearing Officer - LBB HEARING PANEL DECISION Dated: October 4, 2011 Respondent is suspended for three months and fined $10,000 for falsifying Federal Reserve forms, in violation of NASD Conduct Rule 2110, and causing his firm's

    Reference 2007008935010data-portal.finra.orgfinra.org

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