Nex Systems
Type not stated

DERRICK R. E. DOBA

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

    01/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ##C02040056 TO: Department of Enforcement NASD RE: Derrick R. E. Doba, Respondent General Securities Principal CRD No. 2283550 Pursuant to Rule 9216 of N ASD 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 in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging

    Reference C02040056data-portal.finra.orgfinra.org

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