Nex Systems
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Alexander Jon James

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

    04/02/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058026701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alexander Jon James, Respondent Former Registered Representative CRD No. 5630825 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alexander Jon James submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018058026701finra.orgdata-portal.finra.org

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