Nex Systems
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James E. Simpson

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

    11/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072352301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James E. Simpson (Respondent) Former General Securities Representative CRD No. 424828 Pursuant to FINRA Rule 9216, Respondent James E. Simpson (Simpson) submits 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 submitted

    Reference 2021072352301data-portal.finra.orgfinra.org

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