Nex Systems
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Alastair Jamie Barnes

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

    12/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059907201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alastair Jamie Barnes, Respondent Former General Securities Representative ("GSR") CRD No. 6355496 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, Alastair Jamie Barnes submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059907201data-portal.finra.orgfinra.org

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