Nex Systems
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JAMES D. ZIFER

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

    12/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039366201 TO: Department of Enforcement Financial lndustry Regulatory Authority ("FINRA") RE: James D. Zifer, Respondent CRD No. 2884061 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James D. Zifer, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

    Reference 2013039366201data-portal.finra.orgfinra.org

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