Nex Systems
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JAMES CLIFFORD EASTMAN

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

    09/24/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034304001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James Clifford Eastman, Respondent General Securities Representative CRD No. 1385303 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James Clifford Eastman, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2012034304001finra.orgdata-portal.finra.org

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