Nex Systems
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James Daniel Kent Jr.

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

    02/01/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060203701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James Daniel Kent, Jr. (Respondent) General Securities Representative (GS) Investment Company and Variable Contracts Products Representative (IR) CRD No. 2255753 Pursuant to FINRA Rule 9216, Respondent James Daniel Kent, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018060203701data-portal.finra.orgfinra.org

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