Nex Systems
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JAMES COLLARD

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

    09/23/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department ofMarket Regulation, Disciplinary Proceeding Complainant, No. 20120342425-01 V Hearing Officer MJD James Gabriel Collard (CRD No. 2812378), ORDER ACCEPTING OFFER OF SETTLEMENT Respondent. September 23, 2016 INTRODUCTION Disciplinary Proceeding No. 20120342425-01 was filed on March 11, 2016, by the Department ofMarket Regulation ofthe Financial Industry Regulatory Authority ("FINRA" or "Complainant"). Respondent James G

    Reference 2012034242301data-portal.finra.orgfinra.org

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