June 2, 2015-Boca Raton, FL
David James LeDoux , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to update FINRA records to reflect six tax liens totaling over $184,000.
LeDoux was fined $5,000 and suspended from association with any FINRA member for 45 days.
Disciplinary Proceeding NO. 2014041744701
According to FINRA records , LeDoux is currently registered with Westpark Capital in Boca Raton, FL. He was previously registered with National Securities Corporation from 6/2001-8/2014.
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