Nex Systems
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DAVID WILLIAM LOCY

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

    04/16/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Brookstone Securities, Inc. Lakeland, FL, Antony Lee Turbeville Lakeland, FL, Christopher Dean Kline Baraboo, WI, and David William Locy Overland Park, KS, Respondents. DECISION Complaint No. 2007011413501 Dated: April 16, 2015 Firm and registered representatives made unsuitable recommendations and committed fraud; frm and a registered representative

    05/31/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. BROOKSTONE SECURITIES, INC (CRD No. 13366), ANTONY LEE TURBEVILLE (CRD No. 1721014), CHRISTOPHER DEAN KLINE (CRD No. 2597293), and DAVID WILLIAM LOCY (CRD No. 4682865), Respondents. Disciplinary Proceeding No. 2007011413501 Hearing Officer-RSH EXTENDED HEARING PANEL DECISION May 31, 2012 For violating Section 10(b) of the Exchange Act and Rule 10b-5

    Reference 2007011413501data-portal.finra.orgdata-portal.finra.orgfinra.org

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