Nex Systems
Person

JAMES ROBERT GLOVER

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120327824 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Robert Glover (CRD# 1296755), Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Robert Glover ("Glover" or "Respondent"), 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

    Reference 2012032782401data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1296755

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.