Nex Systems
Type not stated

DONNER CORPORATION INTERNATIONAL

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

    02/20/2007: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 55313 / February 20, 2007 Admin. Proc. File No. 3-12260 In the Matter of the Application of DONNER CORPORATION INTERNATIONAL, JEFFERY L. BACLET, VINCENT M. UBERT1, and PAUL A. RUNYON For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Violat

    03/09/2006: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant vs. Donner Corporation International (n/k/a National Capital Securities, Inc.), Irvine, CA, Jeffrey L. Baclet, Reno, NV, Vincent M. Uberti, Fountain Valley, CA, Paul A. Runyon, Lake Forest, CA, Respondents. DECISION Complaint No. CAF020048 Dated: March 9, 2006 Member firm and registered representatives issued misleading and fraudulent research reports that were available to the public via the Internet. Firm

    Reference CAF20020048data-portal.finra.orgdata-portal.finra.orgfinra.org

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