Nex Systems
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JAMES ALAN NOWICKI

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

    06/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100252455 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Alan Nowicki, Respondent CRD No. 2263143 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Alan Nowicki ("Nowicki"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

    Reference 2010025245501data-portal.finra.orgfinra.org

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