Nex Systems
Type not stated

DAVID W. MATTHEWS JR.

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

    05/15/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. MERRIMAC CORPORATE SECURITIES, INC. (CRD No. 35463), STEPHEN D. PIZZUTI (CRD No. 1461660), ROBERT G. NASH (CRD No. 718820), DAVID W. MATTHEWS, JR. (CRD No. 323097), JOHN W. DuBRULE (CRD No. 1223724), AND KEVIN A. TUTTLE (CRD No. 2414158), RESPONDENTS. Disciplinary Proceeding No. 2011027666902 Hearing Officer MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 8, 2014 INTRODUCTION Disciplinary

    Reference 2011027666902data-portal.finra.orgfinra.org

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