Nex Systems
Type not stated

DAVID W. HUFF

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

    08/24/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. David William Huff (CRD No. 4423458), Respondent. DISCIPLINARY PROCEEDING No. 2014042059701 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from November 2011 through August 2012, David Huff ("Huff") willfully failed to timely amend his Uniform Application for Securities Industry Registration or Transfer ("Form U4") to disclose a Chapter 13

    Reference 2014042059701data-portal.finra.orgfinra.org

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