Nex Systems
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James E. Barnes

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

    10/31/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057055301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: James E. Barnes, Respondent CRD No. 5904416 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, James E. Barnes (“Barnes” or “Respondent”), 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 2018057055301data-portal.finra.orgfinra.org

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