Nex Systems
Type not stated

James Calder

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

    02/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048601901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Calder, Respondent General Securities Representative CRD No. 4022637 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, James Calder ("Calder" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

    Reference 2016048601901data-portal.finra.orgfinra.org

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