Nex Systems
Type not stated

JAMES DAVID WILLIAMS 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

    06/14/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014040409901 TO: Departnient of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James David Williams, Jr., Respondent General Securities Representative and Investment Company and Variable Contracts Products Representative CRD No. 2987409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing

    Reference 2014040409901data-portal.finra.orgfinra.org

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