Nex Systems
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James A. Conant

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

    12/11/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063636301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James A. Conant (Respondent) Former General Securities Principal CRD No. 2325682 Pursuant to FINRA Rule 9216, Respondent James A. Conant submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063636301data-portal.finra.orgfinra.org

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