Nex Systems
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JAMES ARNOLD POTTER

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

    05/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020803401 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: James Arnold Potter General Securities Representative, General Securities Principal and Investment Banking Representative CRD No. 1240900 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Arnold Potter, submit this Letter of Acceptance, Waiver and Consent

    Reference 2010020803401data-portal.finra.orgfinra.org

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