Nex Systems
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JAMES B. L'ESPERANCE

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

    12/02/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. JAMES B. L'ESPERANCE Limited Registered Representative, (CRD No. 4150205) Disciplinary Proceeding No. E8A2002124001 Hearing Officer David M. FitzGerald ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 2, 2005 Respondent. INTRODUCTION Disciplinary Proceeding No. E8A2002124001 was filed on July 26, 2005, by the Department of Enforcement of NASD ("Complainant"). Respondent James B. L'Esperance submitted an Offer of Settlement

    Reference E8A2002124001data-portal.finra.orgfinra.org

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