Nex Systems
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JAMES D. WALKER

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

    04/10/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James D. Walker, CRD No. 1446801, Respondent. Disciplinary Proceeding No. 2006004754302 Hearing Officer Andrew H. Perkins Date: April 10, 2008 ORDER ACCEPTING OFFER OF SETTLEMENT INTRODUCTION Disciplinary Proceeding No. 2006004754302 was filed on December 24, 2007, by the Department of Enforcement of the Financial Industry Regulatory Authority ("FINRA"). ("Complainant"). Respondent James D. Walker

    Reference 2006004754302data-portal.finra.orgfinra.org

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