Nex Systems
Type not stated

HAROLD DAVID CRISWELL

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

    12/05/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009018985201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Harold David Criswell, Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 1503161 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2009018985201finra.orgdata-portal.finra.org

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