Nex Systems
Type not stated

JAMES C. MCKELVAIN

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

    01/26/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James C. McKelvain, CRD No. 1565890, Respondent. Disciplinary Proceeding No. 20070088994 Hearing Officer: Maureen A. Delaney ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 26, 2010 INTRODUCTION Disciplinary Proceeding No. 20070088994 was filed on July 8, 2009, by the Department of Enforcement of the Financial

    Reference 2007008899401finra.orgdata-portal.finra.org

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