Nex Systems
Person

JONATHAN SPENCER WILLIAMS

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

    07/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150452689-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jonathan Spencer Williams, Respondent CRD No. 4069029 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I Jonathan Spencer Williams ("Williams" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

    Reference 2015045268901data-portal.finra.orgfinra.org

Identifiers1

IdentifierNumber
ID number4069029

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