Nex Systems
Type not stated

DAVID WALDEMAR ASPLUND 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

    06/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100231383-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David Waldemar Asplund, Jr., Respondent General Securities Representative CRD No. 2803177 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2010023138301data-portal.finra.orgfinra.org

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