JAMES STUART NESBIT
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES STUART NESBIT (CRD No. 1330746), Respondent. Disciplinary Proceeding No. 2010021888201 Hearing Officer - LBB DEFAULT DECISION Dated: March 20, 2012 Respondent James Stuart Nesbit is barred for sharing commissions with an unregistered individual who had been barred by FINRA, in violation of NASD Rule 2420 and FINRA Rule 2010. Respondent is also barred for failure to provide information and
Reference 2010021888201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1330746 |
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