Nex Systems
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GEORGE DHAL

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. 2017053631301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: George Dahl, Respondent General Securities Representative CRD No. 59820 Pursuant to FINRA Rule 9216 ofFINRA's Code of Procedure, Respondent George Dahl (''Respondent" or "Dahl") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement ofthe alleged rule violations descri

    Reference 2017053631301data-portal.finra.orgfinra.org

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