Nex Systems
Type not stated

James E. Armstrong Sr.

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

    12/04/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015044939902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James E. Armstrong, Sr. Former General Securities Principal CRD No. 720549 James E. Armstrong, Jr. General Securities Principal CRD No. 4517907 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure,

    Reference 2015044939902data-portal.finra.orgfinra.org

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