Nex Systems
Person

JAMES WILLIAM ENGRAM

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

    02/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110281702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James William Engram, Respondent (CRD No. 201439) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James William Engram ("Engram") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

    Reference 2011028170201finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number201439

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