Nex Systems
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Donald P. Southwick

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

    09/29/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049789601 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Donald P. Southwick, Respondent Registered Representative CRD No. 4425538 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Donald P. Southwick, submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations

    Reference 2016049789601data-portal.finra.orgfinra.org

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