Nex Systems
Type not stated

David William Huff

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    05/18/2017: 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: MAD ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 18, 2017 INTRODUCTION Disciplinary Proceeding No. 2014042059701 was filed on August 24, 2016, by the Department of Enforcement (Complainant) of the Financial Industry Regulatory Authority (FINRA).

    Reference 2014042059701finra.orgdata-portal.finra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.