Nex Systems
Person

JAMES E. SMALLEY

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

    10/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES E. SMALLEY (CRD No. 5471377), Respondent. Disciplinary Proceeding No. 2008012666801 Hearing Officer-Sara Nelson Bloom DEFAULT DECISION October 30, 2009 Respondent is barred from associating with any FINRA member in any capacity for failing to provide requested information, in violation of Rules 8210 and 2110. In light of the bar, no further sanctions are imposed for Respondent's willful

    Reference 2008012666801data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5471377

Other names1

Also known as1

JAMES EDWARD SMALLEY

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