Nex Systems
Person

JAMES WILLIAM MURPHY

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

    04/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038224901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James William Murphy, Respondent CRD No. 1142044 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, James William Murphy ("Murphy" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference 2013038224901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number1142044

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