Nex Systems
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James Davis Trent

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

    05/18/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. James Davis Trent, CRD No. 2730687, Respondent. Disciplinary Proceeding No. 2014041539301 Hearing Officer: CC ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 18, 2017 INTRODUCTION Disciplinary Proceeding No. 2014041539301 was filed on April 27, 2017, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent James Davis Trent

    04/27/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JAMES DAVIS TRENT, (CRD No. 2730687) Respondent. Disciplinary Proceeding No. 2014041539301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from February 6, 2013 through January 9, 2014 (the "Relevant Period"), James Davis Trent ("Trent") engaged in a pattern of recommending unsuitable short-term trading of Class A mutual fund shares to four customers

    Reference 2014041539301data-portal.finra.orgdata-portal.finra.orgfinra.org

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