Nex Systems
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DWARKA PERSAUD

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

    08/10/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017052711301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dwarka Persaud ("David Persaud"), Respondent CRD No. 1396880 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dwarka Persaud (also known as "David Persaud") ("Persaud" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

    Reference 2017052711301finra.orgdata-portal.finra.org

Other names1

Also known as1

DAVID PERSAUD

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