Nex Systems
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James Daniel Kent

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

    07/19/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071506202 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Daniel Kent (Respondent) Former Investment Company and Variable Contracts Products Representative and General Securities Representative CRD No. 2255753 Pursuant to FINRA Rule 9216, Respondent James Daniel Kent submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2021071506202data-portal.finra.orgfinra.org

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