Nex Systems
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Jason David

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

    03/23/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON DAVID (CRD No. 6702639), Respondent. Disciplinary Proceeding No. 2017053669301 Hearing Officer COMPLAINT Department of Enforcement alleges as follows: SUMMARY 1. Jason David took the Series 66 qualification examination (“the Exam”) in January and February 2017. Both times, he consulted a commercial study guide for the Exam during an unscheduled break, then changed several of his answers.

    10/30/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JASON DAVID (CRD No. 6702639), Respondent. Disciplinary Proceeding No. 2017053669301 Hearing Officer–JLC DEFAULT DECISION October 30, 2018 Respondent is barred from associating with any FINRA member in any capacity for possessing unauthorized study materials at, and cheating on,

    Reference 2017053669301data-portal.finra.orgfinra.orgdata-portal.finra.org

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