Nex Systems
Person

JAMES CLEMENT HANRAHAN

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

    11/21/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025678701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Clement Hanrahan, Respondent General Securities Representative CRD No 5487504 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Clement Hanrahan ("Hanrahan"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2011025678701finra.orgdata-portal.finra.org

Identifiers1

IdentifierNumber
ID number5487504

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