Nex Systems
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JAMES CAROLAN SPENO

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

    01/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045057901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Carolan Speno, Respondent Former Registered Representative CRD No. 431912 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Carolan Speno ("Speno" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violation

    Reference 2015045057901data-portal.finra.orgfinra.org

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