Nex Systems
Person

JAMES EARL MAHAN

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

    07/25/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047115101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Earl Mahan a.k.a. James Earl Mahan III. Respondent General Securities Representative CRD No. 5787176 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Earl Mahan a.k.a. James Earl Mahan III ("Mahan"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2015047115101data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number5787176

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.