Nex Systems
Type not stated

DOUGLAS VAN DORSTEN

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

    05/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 20050019195 TO: Department of Enforcement NASD RE: Wells Fargo Securities, LLC, CRD 7665; and Douglas van Dorsten, CRD 2416351 Pursuant to Rule 9216 of NASD Code of Procedure, Wells Fargo Securities, LLC, and Douglas van Dorsten (collectively, "Respondents") 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

    Reference 2005001919502data-portal.finra.orgfinra.org

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