Nex Systems
Type not stated

DAVID WALTON 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

    08/19/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant v. David Walton Matthews, Jr. (CRD No. 323097), Respondent. Disciplinary Proceeding No. 2009017195204 Hearing Officer: Lawrence B. Bernard ORDER ACCEPTING OFFER OF SETTLEMENT Date: August 19, 2013 INTRODUCTION Disciplinary Proceeding No. 2009017195204 was filed on June 28,2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent David Walton

    Reference 2009017195204finra.orgdata-portal.finra.org

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