Nex Systems
Person

JAMES EESONG OOI

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

    02/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2012032545901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Eesong Ooi, Respondent Investment Company/Variable Contracts Representative, CRD No. 2423220 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 2012032545901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number2423220

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