Nex Systems
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JAMES DEFRANCO MARSHALL

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

    11/28/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030820501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James DeFranco Marshall, Respondent CRD No. 5450870 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James DeFranco Marshall ("Respondent" or "Marshall"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

    Reference 2011030820501data-portal.finra.orgfinra.org

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