Nex Systems
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James E. Scott

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

    07/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James E. Scott (CRD # 2984252), Respondent. DISCIPLINARY PROCEEDING No. 2013035723501 HEARING OFFICER: ___ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From April 2012 through December 2012 (the "Relevant Time Period"), James E. Scott ("Scott" or "Respondent") knowingly and substantially aided and abetted RO in engaging in the recommendation and sale

    04/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. James E. Scott (CRD # 2984252), Respondent. DISCIPLINARY PROCEEDING No. 2013035723501 HEARING OFFICER: RSH ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 10, 2015 INTRODUCTION Disciplinary Proceeding No. 2013035723501 was filed on July 14, 2014, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent James Scott submitted an Offer

    Reference 2013035723501data-portal.finra.orgdata-portal.finra.orgfinra.org

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