Nex Systems
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James Alan Schumaker

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

    02/18/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019061887701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Alan Schumaker (Respondent) General Securities Representative CRD No. 6829407 Pursuant to FINRA Rule 9216, Respondent James Alan Schumaker submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019061887701data-portal.finra.orgfinra.org

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