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FINRA Broker Allegations

Allegations against: David Marvin Nee

Allegation type: Regulatory

Allegation status: Final

The allegations read: Nasd rules 2110 and 3010 - respondent was the registered principal of a member firm resonsible to supervise the activities of a registered representative. Respondent failed to supervise the activities of the registered representative in effecting transactions in the account of a public customer in a mannger that was reasonably designed to achieve compliance with applicable securities laws and regulations.

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