Nex Systems
Type not stated

James Dee Carlson

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    01/10/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049409001 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: James Dee Carlson, Respondent General Securities Representative CRD No. 4134811 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, James Dee Carlson (“Carlson” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement

    Reference 2016049409001data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.