Nex Systems
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JAMES DOZIER WHELAN

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

    10/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. James Dozier Whelan (CRD No. 872806), Respondent. DISCIPLINARY PROCEEDING No. 2014041510702 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While registered with FINRA through a member firm, respondent James Dozier Whelan willfully failed to amend his Uniform Application for Securities Industry Registration ("Form U4") to disclose twelve tax liens, five filed by the Internal

    05/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. James Dozier Whelan (CRD No. 872806), Respondent. DISCIPLINARY PROCEEDING NO. 2014041510702 HEARING OFFICER: DW ORDER ACCEPTING OFFER OF SETTLEMENT Date: May 20, 2016 INTRODUCTION Disciplinary Proceeding No. 2014041510701 was filed on October 19, 2015, by the Department of Enforcement of the Financial industry Regulatory Authority (FINRA) (Complainant). Respondent James Dozier Whelan

    Reference 2014041510702data-portal.finra.orgdata-portal.finra.orgfinra.org

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