Nex Systems
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JAMES C. ACKERMAN

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

    09/12/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2005014202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Sloan Securities Corp., Respondent Member Firm BD No. 17930 James C. Ackerman, Respondent Registered Principal CRD No. 1641924 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

    Reference E9B2005014202data-portal.finra.orgfinra.org

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