Nex Systems
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DONALD C. PRATT

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

    12/27/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004065001 TO: Department of Enforcement NASD RE: Donald C. Pratt Registered Representative CRD No. 367121 Pursuant to Rule 9216 of NASD Code of Procedure, Donald C. Pratt ("Pratt") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part H below. This AWC is submitted on the condition that, if accepted,

    Reference 2006004065001data-portal.finra.orgfinra.org

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